Ethical Principles for CAIA
Free CAIA Level I lesson in CAIA Ethical Principles. 28 min read, ~4,190 words.
Four facets of industry purpose: intrinsic (mobilize and allocate capital), core (wealth and risk management), fundamental (societal wealth and well-being), collateral (jobs and rewards for investment professionals). Four areas of fiduciary obligations: loyalty, prudence and care, diversification, impartiality. Five values supporting the fiduciary mindset: ethical and professional behavior; partnership; client...
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What this lesson covers
- Content
- Example 1
- Example 2
- Common Mistakes
- Key Takeaways
- Exam Shortcuts
Learning objectives
- investment industry
- value creation
- fiduciary duty
- client first
- intro ethical principles
- foundations
- principles for professionals
- case studies
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