Program Overview

CFA Institute Standards of Professional Conduct represent the behavioral benchmark for investment professionals globally. This program covers topics such as:

• complying with legal and regulatory requirements
• avoiding misconduct
• fulfilling your responsibilities as supervisors
• fulfilling your responsibilities as CFA Institute members and candidates in CFA Institute Programs

Who should take this program?

Investment professionals and individuals who are:

• dedicated to protecting the capital markets
• managing people’s investment
• participating in any CFA Institute Programs

Learning Outcomes

Upon successful completion, participants will be able to:

• understand the requirements for complying with the standards
• know the implications for failing to abide by the standards
• recognize behavior that would violate the standards
• help protect the integrity of the capital markets

PL(SER) Credits

• 1.5 PL(SER)

Program Overview

Transparency and disclosure of information are bedrock ethical principles underlying service to clients and the efficiency of capital markets. This program covers topics such as:

• communicating with clients
• disclosing conflicts
• presenting investment performance history
• avoiding misrepresentation regarding professional capabilities, services, or investment information

Who should take this program?

Investment professionals and individuals who are:

• dedicated to protecting the capital markets
• managing people’s investment
• participating in any CFA Institute Programs

Learning Outcomes

Upon successful completion, participants will be able to:

• understand the requirements for complying with the standards
• know the implications for failing to abide by the standards
• recognize behavior that would violate the standards
• help protect the integrity of the capital markets

PL(SER) Credits

• 1.25 PL(SER)

Program Overview

Central to the investment professional is analyzing investment opportunities and acting on that analysis to both generate income for clients and promote the integrity and viability of the global capital markets for the ultimate benefit of society This program covers topics such as:

• fulfilling your responsibilities with diligence
• having a reasonable basis for recommendations and investments
• prioritizing client transactions over your personal trading
• steering clear of trading on material nonpublic information
• not engaging in market manipulation

Who should take this program?

Investment professionals and individuals who are:

• dedicated to protecting the capital markets
• managing people’s investments
• participating in any CFA Institute Programs

Learning Outcomes

Upon successful completion, participants will be able to:

• understand the requirements for complying with the standards
• know the implications for failing to abide by the standards
• recognize behavior that would violate the standards
• help protect the integrity of the capital markets

PL(SER) Credits

• 1.25 PL(SER)

Program Overview

The paramount goal of professionals throughout the investment industry is working in the clients’ best interest. Effectively engaging with clients in a fair and ethical manner is paramount to building trust with investors and allowing them to take intelligent and informed actions This program covers topics such as:

• acting with loyalty, prudence, and care toward clients
• maintaining your independence and objectivity
• preserving client confidentiality
• insuring investment recommendations are suitable for clients
• treating all clients fairly

Who should take this program?

Investment professionals and individuals who are:

• dedicated to protecting the capital markets
• managing people’s investments
• participating in any CFA Institute Programs

Learning Outcomes

Upon successful completion, participants will be able to:

• understand the requirements for complying with the standards
• know the implications for failing to abide by the standards
• recognize behavior that would violate the standards
• help protect the integrity of the capital markets

PL(SER) Credits

• 1.25 PL(SER)

Program Overview

This program works hand-in-hand with the Ethical Decision-Making program to provide practical strategies that teach you how to effectively act on your values in the face of workplace pressures and use ethical principles to guide your decision-making. Everyone has the power to effect change, and these programs help you develop the skills and confidence to speak up and properly act on ethical values when confronted with challenging situations and complex decisions.

Who should take this program?

Leaders and individuals who need to:

• navigate delicate ethical situations, conflicts, and daily interactions with stakeholders
• motivate others to choose ethical behavior
• efficiently and effectively influence a values-based culture
• communicate a values-based vision and gather support for it

Learning Outcomes

Upon successful completion, participants will be able to:

• learn and practice a framework for successfully navigating ethical conflicts in your professional life
• implement creative problem-solving approaches to workplace conduct
• assess and harness your individual strengths to effectively voice and act on your values
• anticipate and prepare for challenges to your values

PL(SER) Credits

• 4 PL(SER) 

Program Overview

This program works hand-in-hand with the Giving Voice to Values program to provide practical strategies that teach you how to effectively act on your values in the face of workplace pressures and use ethical principles to guide your decision-making. Everyone has the power to effect change, and these programs help you develop the skills and confidence to speak up and properly act on ethical values when confronted with challenging situations and complex decisions.

Who should take this program?

Leaders and individuals who need to:

• navigate delicate ethical situations, conflicts, and daily interactions with stakeholders
• motivate others to choose ethical behavior
• efficiently and effectively influence a values-based culture
• communicate a values-based vision and gather support for it

Learning Outcomes

Upon successful completion, participants will be able to:

• learn and practice a framework for successfully navigating ethical conflicts in your professional life
• implement creative problem-solving approaches to workplace conduct
• assess and harness your individual strengths to effectively voice and act on your values
• anticipate and prepare for challenges to your values

PL(SER) Credits

• 1.5 PL(SER)