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CFA Level 1 – Ethical and Professional Standards

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Study Session 1: Ethical and Professional Standards

Reading 1 Ethics and Trust in the Investment Profession 8 LOSs

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Reading Content

0% Complete 0/8 Steps

Describe the role of a code of ethics in defining a profession

Describe professions and how they establish trust

Describe the need for high ethical standards in investment management

Explain professionalism in investment management

Identify challenges to ethical behavior

Distinguish between ethical and legal standards

Describe a framework for ethical decision making

Reading 2 Code of Ethics and Standards of Professional Conduct 3 LOSs

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Reading Content

0% Complete 0/3 Steps

Describe the structure of the CFA Institute Professional Conduct Program and the process for the enforcement of the Code and Standards

State the six components of the Code of Ethics and the seven Standards of Professional Conduct

Explain the ethical responsibilities required by the Code and Standards, including the sub-sections of each Standard

Reading 3 Guidance for Standards I–VII 3 LOSs

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Reading Content

0% Complete 0/3 Steps

Demonstrate the application of the Code of Ethics and Standards of Professional Conduct to situations involving issues of professional integrity

Distinguish between conduct that conforms to the Code and Standards and conduct that violates the Code and Standards

Recommend practices and procedures designed to prevent violations of the Code of Ethics and Standards of Professional Conduct

Reading 4 Introduction to the Global Investment Performance Standards (GIPS) 3 LOSs

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Reading Content

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Explain why the GIPS standards were created, what parties the GIPS standards apply to, and who is served by the standards

Explain the construction and purpose of composites in performance reporting

Explain the requirements for verification

Reading 5 Global Investment Performance Standards (GIPS) 4 LOSs

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Reading Content

0% Complete 0/4 Steps

Describe the key features of the GIPS standards and the fundamentals of compliance

Describe the scope of the GIPS standards with respect to an investment firm’s definition and historical performance record

Explain how the GIPS standards are implemented in countries with existing standards for performance reporting and describe the appropriate response when the GIPS standards and local regulations conflict

Describe the nine major sections of the GIPS standards

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