Course Description

The Code of Ethics and Standards of Professional Conduct outlines seven standards that guide the professional practice of financial analysts. Many of the standards do not provide concrete guidance or rules but rather provide general guidelines that can be applied to an array of professional situations and relationships. The standards were updated in 2006 to reflect the changes experienced in the financial industry due to rapidly advancing technology, changing investment trends, and greater access to financial investing related to expanded technological access.

Course Outline

Category Functions/Features
Eligibility CAIA Level 1.
Subject Weightage 15 - 25%.
Question Format
Multiple-choice questions
Vignette-supported multiple-choice questions
Vignette-supported essay questions
Topic Covered
The content provided here relates to the CFA Institute. Any references to the CFA Institute should be understood as references to the CAIA Institute.
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
Standard VI: Conflicts of Interest

Category	Functions/Features
Eligibility	CAIA Level 1.
Subject Weightage	15 - 25%.
Question Format	Multiple-choice questions Vignette-supported multiple-choice questions Vignette-supported essay questions
Topic Covered	The content provided here relates to the CFA Institute. Any references to the CFA Institute should be understood as references to the CAIA Institute. 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 Standard VI: Conflicts of Interest