Browse CFA Level 2 Essentials

Chapter 10: Ethical Standards, Professional Conduct, and Compliance

Chapter 10: Ethical Standards, Professional Conduct, and Compliance explains the core concepts, key definitions, and practical implications you need for solid analysis. It highlights common pitfalls and the intuition behind the methods so the results are interpreted correctly.

In this section

  • CFA Institute Code of Ethics and Standards of Professional Conduct
    CFA Institute Code of Ethics and Standards of Professional Conduct (CFA Level 2): Covers Overview of the Code and Standards and The Six Core Principles of the CFA Institute Code of Ethics with key formulas and examples. Includes exam-style practice questions with explanations.
  • Application of Ethical Principles in Complex Scenarios
    Application of Ethical Principles in Complex Scenarios (CFA Level 2): Covers The Core of Complex Ethical Scenarios and Insider Trading Concerns with key formulas and practical examples. Includes exam-style practice questions with explanations.
  • Enforcement, Regulatory Considerations, and Global Context
    Enforcement, Regulatory Considerations, and Global Context (CFA Level 2): Covers Overview of Enforcement Mechanisms and Regulatory Bodies and Their Roles with key formulas and practical examples. Includes exam-style practice questions with explanations.

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Chapter 9: Portfolio Construction, Risk Measurement, and Performance
Chapter 11: U.S. and Canadian Regulations, Practices, and Industry Nuances