Ethics and Professional Standards: Study Session 2
Study Session Materials
Complete List of CFA Program Readings
Topic Overview
Ethical and Professional Standards in Practice
Using examples and case studies, the readings in this study session show
the use of the CFA Institute Code of Ethics and Standards of Professional
Conduct as a body of principles for ethical reasoning and decision
making. The readings serve as effective aids in understanding and
internalizing the values and standards presented in the CFA Institute
Standards of Practice Handbook. By applying the Code and Standards to
case study conflicts, the practitioner will gain experience identifying
and explaining fundamental principles of conduct, which then become tools
for dealing with real world challenges.
The Asset Manager Code of Professional Conduct uses the basic tenets of the CFA Institute Code of Ethics and Standards of Professional Conduct to establish ethical and professional standards for firms managing client assets. The Asset Manager Code of Professional Conduct also extends the Code and Standards to address investment management firm practices regarding trading, compliance, security pricing, and disclosure.
View learning outcome statements (LOS) for reading objectives.
Complete List of CFA Program Readings
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Members may download these designated readings. Log in for access. |
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“Ethics in Practice”
Philip Lawton (CFA Institute, 2005) Member download (PDF) |
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View LOS |
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“The Consultant” Jules A. Huot, Ethics Cases (CFA Institute, 1996: adapted 2005) Member download (PDF) |
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View LOS |
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“Pearl Investment Management (A), (B), and
(C)” Glen A. Holden, Jr., Ethics Cases (CFA Institute, 1996: adapted 2005) Member download (PDF) |
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View LOS |
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Asset Manager Code of Professional
Conduct
including Appendix A (CFA Institute, Centre for Financial Market Integrity, 2005) Free download (PDF) |
View LOS |