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 Related Modules
1.
Course Outline
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Start
Category
Functions/Features
Eligibility
CFA All Levels.
Subject Weightage
15 - 20%.
Question Format
Multiple-choice questions
Vignette-supported multiple-choice questions
Vignette-supported essay questions
Topic Covered
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
Standard VII: Responsibilities as a CFA Institute Member or CFA Candidate
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