CFA Level 3, Ethics and Standards of Professional Conduct

  • Post category:StudyBullet-3
  • Reading time:7 mins read

What you will learn

Reading Assignments 1-6 of the CFA level 3 curriculum

Learn preparation techniques to score on this topic

Understand the Ethical Decision Making Framework

Decode the Standards and understand its application

Develops your intuition for answering the vignette style questions

Description

A deep dive into Code of Ethics and Standards of Professional Conduct for CFA level 3.

In this course we cover


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  • Code of Ethics and Standards of Professional Conduct
  • Guidance for Standards I-VII
  • Application of the Code and Standards
  • Asset Manager Code
  • Professionalism in Investment Industry
  • Global Investment Performance Standards
  • Practice questions with answers

This course simplifies the theoretical concepts in short easy to follow videos. It summarises the key points for effective retention. The content is power packed with examples and is designed to help you score on this topic. Throughout the course we discuss numerous case studies which help develop your intuition for answering the vignette style questions

Don’t let the extensive curriculum bog you down, we have got you covered

A deep dive into Code of Ethics and Standards of Professional Conduct for CFA level 3.

In this course we cover

  • Code of Ethics and Standards of Professional Conduct
  • Guidance for Standards I-VII
  • Application of the Code and Standards
  • Asset Manager Code
  • Professionalism in Investment Industry
  • Global Investment Performance Standards
  • Practice questions with answers

This course simplifies the theoretical concepts in short easy to follow videos. It summarises the key points for effective retention. The content is power packed with examples and is designed to help you score on this topic. Throughout the course we discuss numerous case studies which help develop your intuition for answering the vignette style questions

Don’t let the extensive curriculum bog you down, we have got you covered

English
language

Content

Introduction
Intro
Exam Focus
Introduction to Ethics
Structure of PCP program
Overview of Code and Standards
Guidance and Application of Standards
I.A. Knowledge of Law
I.B. Independence and Objectivity
I.C. Misrepresentation
I.D. Misconduct
II.A. Material Nonpublic Information
II.B. Market Manipulation
III.A. Loyalty, Prudence and Care
III.B. Fair Dealing
III.C. Suitability
III.D. Performance Presentation
III.E. Preservation of Confidentiality
IV.A. Loyalty to Employers
IV.B. Additional Compensation Arrangements
IV.C. Responsibilities of Supervisors
V.A. Diligence and Reasonable Basis
V.B. Communication with Clients and Prospective Clients
V.C. Record Retention
VI.A.Disclosure of Conflicts
VI. B. Priority of Transactions
VI.C. Referral Fees
VII.A. Conduct as a Participants in CFA Institute Programs
VII.B. Reference to CFA Institute, CFA Designation and CFA Program
Application of Standards
Ethical decision making framework
Case study I Marcia Lopez
Case Study II Castle Biotechnology
Case Study III Lionsgate Ltd and Bank of Australia
Case study IV Gabby Sim
Professionalism in Investment Industry and Asset Manager Code
Professionalism in Investment Industry
Asset Manager Code
Global Investment Performance Standards
Practice questions
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