Andrew Stotz – Ethics in Finance

A clear and simple ethics course whether you are attempting to pass the CFA exam or just want to build ethics into your life.

What You’ll Learn In Ethics in Finance

The Value of CFA and Ethics

• CFA Code of Ethics
• 10 Ways Ethics Adds Value to You
• How CFA can help you build a successful career
• How to get out of trouble
• Bonus – Summary of Standards of Professional Conduct

Professionalism

• 1A. Knowledge of the Law
• Quiz: 1A. Knowledge of the Law
• 1B. Independence and Objectivity
• Quiz: 1B. Independence and Objectivity
• 1C. Misrepresentation
• Quiz: 1C. Misrepresentation
• 1D. Misconduct
• Quiz: 1D. Misconduct
• 1E. Competence
• Quiz: 1E. Competence

Integrity of capital markets

• 2A. Material Nonpublic Information
• Quiz: 2A. Material Nonpublic Information
• 2B. Market Manipulation
• Quiz: 2B. Market Manipulation

Duties to clients

• 3A. Loyalty, Prudence, and Care
• Quiz: 3A. Loyalty, Prudence, and Care
• 3B. Fair Dealing
• Quiz: 3B. Fair Dealing
• 3C. Suitability
• Quiz: 3C. Suitability
• 3D. Performance Presentation
• Quiz: 3D. Performance Presentation
• 3E. Preservation of Confidentiality
• Quiz: 3E. Preservation of Confidentiality

Duties to employers

• 4A. Loyalty
• Quiz: 4A. Loyalty
• 4B. Additional Compensation Arrangements
• Quiz: 4B. Additional Compensation Arrangements
• 4C. Responsibilities of Supervisors
• Quiz: 4C. Responsibilities of Supervisors

Investment analysis, recommendations, and actions

• 5A. Diligence and Reasonable Basis
• Quiz: 5A. Diligence and Reasonable Basis
• 5B. Communication with Clients and Prospective Clients
• Quiz: 5B. Communication with Clients and Prospective Clients
• 5C. Record Retention
• Quiz: 5C. Record Retention

Conflicts of interest

• 6A Avoid or Disclose Conflicts
• Quiz: 6A. Disclosure of Conflicts
• 6B. Priority of Transactions
• Quiz: 6B. Priority of Trnsactions
• 6C. Referral Fees
• Quiz: 6C. Referral Fees

Responsibilities as a CFA Institute member or CFA candidate

• 7A Conduct as Participant in CFA Institute Programs
• Quiz: 7A. Conduct as participants in the CFA program
• 7B Reference to CFA Institute, Designation, and Program
• Quiz: 7B. Reference to CFA Institute, CFA Designation, and CFA program
• A few questions
• One last question

When will I receive my course?

You will receive a link to download your course immediately or within 1 to 21 days. It depends on the product you buy, so please read the short description of the product carefully before making a purchase.

How is my course delivered?

We share courses through Google Drive, so once your order is complete, you'll receive an invitation to view the course in your email.

To avoid any delay in delivery, please provide a Google mail and enter your email address correctly in the Checkout Page.

In case you submit a wrong email address, please contact us to resend the course to the correct email.

How do I check status of my order?

Please log in to TradingAZ account then go to Order Page. You will find all your orders includes number, date, status and total price.

If the status is Processing: Your course is being uploaded. Please be patient and wait for us to complete your order. If your order has multiple courses and one of them has not been updated with the download link, the status of the order is also Processing.

If the status is Completed: Your course is ready for immediate download. Click "VIEW" to view details and download the course.

Where can I find my course?

Once your order is complete, a link to download the course will automatically be sent to your email.

You can also get the download link by logging into your TradingAZ account then going to Downloads Page.