Knowledge Base
Ethical and Professional Standards
Professional conduct, ethical decision-making, and performance reporting standards that underpin trust in the investment profession.
Sub-themes
Ethics Application
Applying the Code and Standards to real-world scenarios: identifying violations, evaluating practices, and recommending preventive procedures.
Introduction to the Global Investment Performance Standards (GIPS)
Fundamentals of GIPS compliance, firm definition, composites, independent verification, and why the standards exist.
Guidance for Standards I–VII
Detailed guidance and practical application of each of the seven Standards of Professional Conduct.
Code of Ethics and Standards of Professional Conduct
The six components of the CFA Institute Code of Ethics, the seven Standards of Professional Conduct, and the enforcement process.
Ethics and Trust in the Investment Profession
Why ethics matter in investment management, how professions build trust, and frameworks for navigating ethical dilemmas.