Topics › Ethical and Professional Standards
Ethical and Professional Standards
The Code of Ethics, the Standards of Professional Conduct, and how to apply them to realistic situations. It carries the highest weight on the exam, and it rewards steady practice with short case scenarios.
Practice Ethical and Professional Standards
Study modules
- Ethics and Trust in the Investment Profession
- Code of Ethics and Standards of Professional Conduct
- Standard I: Professionalism
- Standard II: Integrity of Capital Markets
- Standard III: Duties to Clients
- Standard IV: Duties to Employers
- Standard V: Investment Analysis, Recommendations, and Actions
- Standards VI and VII: Conflicts of Interest; Responsibilities as a Member or Candidate
- Introduction to GIPS
Free sample questions
- Ana Delgado, a portfolio manager at Novestra Capital, learns she could earn a substantial referral fee by…
- Stellan Roth, a portfolio manager at Quantex Ridge Advisors, is invited to join the board of directors of a…
- Petra Halloran, CFA, covers Ostergaard Renewables for Tavistock Research under a flat monthly fee that every…
- Iris Fellhauer, CFA, a relationship manager at Stannard Private Bank, receives an order from her country's…
- Miriam Sarr, CFA, an independent adviser in Kannvar, receives a fee for each client she refers to a local…