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Ethical and Professional Standards

Guidelines for ethical behavior and professional conduct in the investment industry.

Ethical and professional standards are the guidelines and principles that govern the behavior and conduct of investment professionals. These standards promote integrity, transparency, and fairness in the investment industry and protect the interests of clients and the public. Analysts must adhere to ethical codes, such as the CFA Institute Code of Ethics and Standards of Professional Conduct, and maintain high standards of competence, diligence, and professionalism in their work.

Concepts covered: Application of the Code and Standards: Level II, Guidance for Standards I–VII, Code of Ethics and Standards of Professional Conduct

Time: 5 minutes   Questions: 5

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