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ethical and professional standards and quantitative methods

This class was created by Brainscape user Joey Tan. Visit their profile to learn more about the creator.

By: Joey Tan
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Decks in this class (3)

L1. Ethics and Trust in the Investment Profession
- Explain Ethics - Describe the role of a code of ethics in a defining profession - Describe professions and how they establish trust - Describe the need for high ethical standards in investment management - Explain professionalism in investment management - Identify challenges to ethical behavior - Distinguish between ethical and legal standards - Describe a framework for ethical decision making
9  cards
L2. Code of ethics and standards of professional conduct
- Describe the structure of the CFA institute Professional Conduct Program and the process of enforcement of the Code and standards - State the 6 components of the Code of Ethics and the 7 standards of professional Conduct - Explain the ethical responsibilities required by the code of standards, including the sub-sections of each standards
16  cards
L3. Guidance for Standards I-VII
1. Demonstrate the application for the Code of Ethics and Standards of Professional Conduct to situation involving issues of professional integrity 2. Distinguish between conduct that conforms to the code and standards and the conduct that violates the code of standards 3. Recommend practices and procedures designed to prevent violation of the code of ethics and standards of professional conduct
124  cards

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ethical and professional standards and quantitative methods

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