CFA Level 1 Prep- Ethics

Exam Weight 15% | Taught by Ankur Kulshrestha, CFA

 

The readings in this section 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.

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    Self paced
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    Enrollments7
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    LanguagesEnglish
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    Published DateJul 23, 2018

₹1,899.00

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    Documents: 1
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    Video: 13
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    Test: 3

Course Highlights

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    Will provide a framework for ethical conduct in investment profession
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    Discussion on the role of code of ethics in defining a profession
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    Understanding of GIPS

Schedule

Section 1 - PPT slides for Ethics
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    CFA_Ethics_2017
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    Modular Assessment (attempt after all lectures have been covered)
Section 2 - Reading 1: Ethics
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    Introduction to Ethics
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    Need for Ethics in Investment Profession
Section 3 - Reading 2: Code of Ethics
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    Codes of Ethics
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    Professionalism
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    Integrity of Capital Markets
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    Duties to Clients
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    Duties to Employers
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    Investment Action
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    Conflict of interest
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    Conduct in Programme and Exam
Section 4 - Reading 3: Guidance for Standards I–VII
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    Reading 3 Quiz 1
Section 5 - Reading 4: Intro. to Global Investment Performance
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    GIPS_Introduction
Section 6 - Reading 5: GIPS
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    Different aspects of GIPS in Detail
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    9 Sections of GIPS & GIPS verification
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    Reading 5 Quiz 1

Instructor

Amit ParakhIndiaContact Instructor

Amit Parakh is one of the most qualified global trainers in the CFA Program and FRM space. He has a B-Com from Calcutta University and an MBA from IIMA. Having aced Chartered Accountancy (a national rank), FRM, CS, CFA exams all in first attempt, he knows what it takes. Amit has been with ICICI Bank in the structured finance division. He has also been a sell side equity analyst with JP Morgan. He carries an extensive experience of teaching specialized courses in derivative and fixed income.