Ethics and Professional Standards in Finance
The duties of investment professionals: the CFA Institute Code and Standards, conflicts of interest, fair dealing, insider trading and putting clients first.
FIN-440 Year 4 3 credits 12 lessons planned ▶ Video lessons coming soon
Offered by HSM University · Finance
Course content
- 1Why ethics matters in financeComing
- 2The CFA Institute Code of EthicsComing
- 3Professionalism and independenceComing
- 4Integrity of capital markets and insider informationComing
- 5Market manipulationComing
- 6Duties to clients: loyalty, prudence and careComing
- 7Suitability and fair dealingComing
- 8Conflicts of interest and disclosureComing
- 9Performance presentation and GIPSComing
- 10Duties to employers and whistleblowingComing
- 11Famous scandals and what they teachComing
- 12Case study: resolving an ethical dilemmaComing
Requirements
Recommended background. You can start any course at any time.
Description
The duties of investment professionals: the CFA Institute Code and Standards, conflicts of interest, fair dealing, insider trading and putting clients first.
Part of the Business stream, typically taken in year 4.