Code of Ethics and Standards of Professional Conduct
Free CFA Level I lesson in Ethical and Professional Standards. 20 min read, ~2,950 words.
Six components of the Code and seven Standards (I to VII), roughly twenty sub-sections; memorize the verbatim list and counts. Professional Conduct staff investigate, the DRC adjudicates contested cases via hearing panel, and the Board of Governors oversees policy; a proposed sanction can be accepted or appealed. Investigations start from...
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What this lesson covers
- Content
- Example 1
- Example 2
- Common Mistakes
- Check Your Understanding
- Exam Shortcuts
Learning objectives
- code of ethics and standards
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