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An Introduction to the Code and Standards

Video Series

The Code of Ethics and Standards of Professional Conduct video series is a 22-part primer to the CFA Institute Code of Ethics and Standards of Professional Conduct (Code and Standards), the ethical benchmark for investment professionals globally.

CFA Institute members and CFA candidates have a personal responsibility to comply with the provisions of the Code and Standards and are encouraged to revisit the content regularly. Other investment professionals will find the content helpful to learn about the fundamental ethical principles applicable to the investment profession and identify common ethical dilemmas and possible ways to resolve them.

Each video conveys the key concepts of the standard, recommended compliance practices, and provides case studies to allow users to practice application of the standard to real world scenarios.

Note: Students viewing these videos for credit under the CFA Institute University Affiliation Program must access them through cfainstitute.gallery.video/cfaethics or their credits will not be recorded.

Watch the introductory video: Ethics and the Investment Industry

I. Professionalism

Standard of Professional Conduct I(A): Knowledge of the Law

Standard of Professional Conduct I(B): Independence and Objectivity

Standard of Professional Conduct I(C): Misrepresentation

Standard of Professional Conduct I(D): Misconduct

II. Integrity of Capital Markets

Standard of Professional Conduct II(A): Material Nonpublic Information

Standard of Professional Conduct II(B): Market Manipulation

III. Duties To Clients

Standard of Professional Conduct III(A): Loyalty, Prudence, and Care

Standard of Professional Conduct III(B): Fair Dealing

Standard of Professional Conduct III(C): Suitability

Standard of Professional Conduct III(D): Performance Presentation

Standard of Professional Conduct III(E): Preservation of Confidentiality

IV. Duties To Employers

Standard of Professional Conduct IV(A): Loyalty

Standard of Professional Conduct IV(B): Additional Compensation Arrangements

Standard of Professional Conduct IV(C): Responsibilities of Supervisors

V. Investment Analysis, Recommendations, and Actions

Standard of Professional Conduct V(A): Diligence and Reasonable Basis

Standard of Professional Conduct V(B): Communication with Clients and Prospective Clients

Standard of Professional Conduct V(C): Record Retention

VI. Conflicts of Interest

Standard of Professional Conduct VI(A): Disclosure of Conflicts

Standard of Professional Conduct VI(B): Priority of Transactions

Standard of Professional Conduct VI(C): Referral Fees

VII. Responsibilities as a CFA Institute Member or CFA Candidate

Standard of Professional Conduct VII: Responsibilities as a CFA Institute Member or CFA Candidate

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