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