Chapter 2: Code of Ethics and Standards of Professional Conduct

In this section

• Overview of the CFA Institute Professional Conduct Program
  Overview of the CFA Institute Professional Conduct Program (CFA Level 1): Role and Purpose of the Professional Conduct, How the PCP Receives and Evaluates Complaints, and Disciplinary Process Lifecycle. Key definitions, formulas, and exam tips.
• The CFA Institute Code of Ethics: Principles and Obligations
  The CFA Institute Code of Ethics: Principles and Obligations (CFA Level 1): Why Ethics Matter in Finance, Foundational Principles of the CFA Institute Code of, and Integrity. Key definitions, formulas, and exam tips.
• Standards of Professional Conduct: Scope and Structure
  Standards of Professional Conduct: Scope and Structure (CFA Level 1): Breaking Down the Standards, Standard I: Professionalism, and Standard II: Integrity of Capital Markets. Key definitions, formulas, and exam tips.
• Enforcement and Investigation Procedures
  Enforcement and Investigation Procedures (CFA Level 1): Step-by-Step Outline of the Investigation Process, Triggers for an Investigation, and Collecting Evidence. Key definitions, formulas, and exam tips.
• Common Violations and Preventative Measures
  Common Violations and Preventative Measures (CFA Level 1): Common Violations in the Investment Profession, Plagiarism of Research, and Misrepresentation of Credentials. Key definitions, formulas, and exam tips.
• Practical Approaches for Implementing Ethical Standards
  Practical Approaches for Implementing Ethical Standards (CFA Level 1): Translating High-Level Principles into Daily Work, Personal Anecdote (Well, Sort Of), and Creating Robust Compliance Manuals. Key definitions, formulas, and exam tips.