Cfa Level 1 (2022) Ethical And Professional Standards

Ethics course covering the CFA level I curriculum | Prof. James Forjan, PhD, CFA

What you'll learn
CFA Level 1 Ethical and Professional Standards + Practice Questions
Requirements
Be enrolled in the CFA Program and registered for the CFA Level 1 exam
Description
Wouldn’t it be great if studying for the CFA® exam was as easy as watching TV?With AnalystPrep video lessons, it is!Our video lessons follow the same pattern as the 57 readings from the curriculum, with the exception that we emphasize on the LOS – the learning objectives on which exam questions are based! Plus we add convenient mathematical examples throughout so that you are better prepared on the big day.Professor James Forjan, who has taught college-level finance classes for over 23 years, summarizes Level I of the CFA exam curriculum in 57 clear and simple videos. With a clear passion for teaching, Prof. Forjan has worked in the CFA exam preparation industry for decades after earning his charter in 2004. His resume includes:BS in accountingMSc in FinancePhD in Finance (minor in Economics and two PhD level classes in Econometrics)Has taught at different 6 universities (undergraduate and graduate-level Finance classes)Co-author of investment booksHas crafted, edited, updated, and upgraded a multitude of CFA exam type questions at all levelsAnd much more…This course includes:Videos covering each Ethics reading (downloadable)Downloadable Powerpoint slides (in PDF format)In this course, Prof. James Forgan, PhD, CFA, summarizes each Ethics reading and standard of professional conduct so you can learn or review all of the important concepts from CFA Level 1 Ethical and Professional Standards. James Forjan has taught college-level business classes for over 25 years. Ethical and Professional Standards represents 15 percent of the total CFA L1 exam, so Prof. Forjan will make sure you understand well all of the intricacies related to this chapter.The answers file includes detailed explanations and the referring LOS. Learn from the #1 rated CFA & FRM preparation institution − AnalystPrep.The readings covered in this course are:Reading 56 – Ethics and Trust in the Investment ProfessionReading 57 – Code of Ethics and Standards of Professional ConductReading 58 – Guidance for Standards I-VIIStandard I – Professionalism(A) Knowledge of the law(B) Independence and objectivity(C) Misrepresentation(D) MisconductStandard II – Integrity of Capital Markets(A) Material non-public information(B) Market manipulationStandard III – Duties to Clients and Prospective Clients(A) Loyalty and prudence(B) Fair dealing(C) Suitability(D) Performance presentation(E) Preservation of confidentialityStandard IV – Duties to Employers(A) Loyalty(B) Additional compensation arrangements(C) Responsibilities of supervisorsStandard V – Investment Analysis, Recommendations, and Action(A) Diligence and Reasonable basis(B) Communication with clients and prospective clients(C) Records retentionStandard VI – Conflicts of Interest(A) Disclosure of conflicts(B) Priority of transactions(C) Referral feesStandard VII – Responsibilities as a CFA Institute Member or CFA Candidate(A) Conduct as participants in CFA Institute programs(B) Reference to CFA Institute, CFA designation, and CFA programReading 59 – Introduction tothe Global Investment Performance Standards (GIPS)

Overview

Section 1: Introduction

Lecture 1 Reading 56 – Ethics and Trust in the Investment Profession

Lecture 2 Reading 57 – Code of Ethics and Standards of Professional Conduct

Section 2: Reading 58 – Guidance for Standards I-VII

Lecture 3 Standard I – Professionalism

Lecture 4 Standard II – Integrity of Capital Markets

Lecture 5 Standard III – Duties to Clients and Prospective Clients

Lecture 6 Standard IV – Duties to Employers

Lecture 7 Standard V – Investment Analysis, Recommendations, and Action

Lecture 8 Standard VI – Conflicts of Interest

Lecture 9 Standard VII – Responsibilities as a CFA Institute Member or CFA Candidate

Section 3: Global Investment Performance Standards (GIPS)

Lecture 10 Reading 59 – Introduction to the Global Investment Performance Standards (GIPS)

CFA Level 1 candidates