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The readings in this study session present a framework for ethical conduct in the investment profession. The first reading discusses ethics, the role of a code of ethics in defining a profession, and the importance of ethics in the investment profession. It also introduces an ethical decision-making framework. The focus then turns to the CFA Institute Code of Ethics and Standards of Professional Conduct as well as the Global Investment Performance Standards (GIPS®).
The principles and guidance presented in the CFA Institute Standards of Practice Handbook (Handbook) form the basis for the CFA Institute self-regulatory program to maintain the highest professional standards among investment practitioners. “Guidance” in the Handbook addresses the practical application of the Code of Ethics and Standards of Professional Conduct. The guidance expands upon the purpose and scope of each standard, presents recommended procedures for compliance, and provides examples of the standard in practice.
The Global Investment Performance Standards (GIPS) facilitate efficient comparison of investment performance across investment managers and country borders by prescribing methodology and standards that are consistent with a clear and honest presentation of returns. Having a global standard for reporting investment performance to prospective clients minimizes the potential for ambiguous or misleading presentations.
Ethicalcal and Profess ional Statandards
Reading 1 Ethics and Trust in the Investment Profession
by Bidhan L. Parmar, PhD, Dorothy C. Kelly, CFA, and David B. Stevens, CFA
Reading 2 Code of Ethics and Standards of Professional Conduct Standards of Practice Handbook, Eleventh Edition
Reading 3 Guidance for Standards I–VII
Standards of Practice Handbook, Eleventh Edition
Reading 4 Introduction to the Global Investment Performance Standards (GIPS)
Reading 5 Global Investment Performance Standards (GIPS)
2017 Level I CFA Program Curriculum-Ethical and Professional Standards.pdf
(4.27 MB)
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