Investment Ethics and Performance Standards

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Investment Ethics and Performance Standards

Instructor: EDUCBA

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6 modules

Gain insight into a topic and learn the fundamentals.

1 week to complete

at 10 hours a week

Flexible schedule

Learn at your own pace

6 modules

Gain insight into a topic and learn the fundamentals.

1 week to complete

at 10 hours a week

Flexible schedule

Learn at your own pace

What you'll learn

Apply CFA Code of Ethics and Professional Standards to client and investment scenarios.
Evaluate conflicts of interest, fair dealing practices, and ethical decision-making situations.
Interpret GIPS requirements for performance reporting, composites, and compliance standards.

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There are 6 modules in this course

Master CFA Ethics and GIPS with real-world clarity and practical application.

Build ethical decision-making skills essential for finance professionals and CFA candidates. This course provides a comprehensive understanding of CFA Code of Ethics, Standards of Professional Conduct, and Global Investment Performance Standards (GIPS). Designed for finance professionals and students, it bridges the gap between theory and real-world practice. You will learn how to apply ethical principles in client relationships, manage conflicts of interest, ensure fair dealing, and maintain professional integrity. The course also covers GIPS framework, helping you understand performance reporting, composites, and compliance. With structured modules and practical insights, this course prepares you for CFA exams while enhancing your professional credibility and decision-making skills.

Learn core CFA ethical principles, including knowledge of law, independence, misrepresentation, and professional conduct to build a strong ethical foundation.

What's included

8 videos1 assignment

8 videosTotal 69 minutes

Knowledge of Law – Basics6 minutes
Knowledge of Law – Applications7 minutes
Independence & Objectivity – Concepts11 minutes
Independence & Objectivity – Cases10 minutes
Misrepresentation – Overview8 minutes
Misrepresentation – Examples7 minutes
Misconduct Explained11 minutes
Material Non-Public Info – Basics9 minutes

1 assignmentTotal 30 minutes

Foundations of Ethical Conduct30 minutes

Understand insider trading, market manipulation, and fiduciary responsibilities to ensure fair and ethical treatment of clients.

What's included

8 videos1 assignment

8 videosTotal 83 minutes

Material Non-Public Info – Cases13 minutes
Market Manipulation – Concepts8 minutes
Market Manipulation – Examples8 minutes
Loyalty, Prudence & Care – Intro9 minutes
Loyalty, Prudence & Care – Duties8 minutes
Loyalty, Prudence & Care – Cases14 minutes
Fair Dealing – Basics11 minutes
Fair Dealing – Applications12 minutes

1 assignmentTotal 30 minutes

Market Integrity & Fair Practices30 minutes

Develop skills in suitability analysis, performance reporting, and confidentiality to manage client relationships effectively.

What's included

8 videos1 assignment

8 videosTotal 71 minutes

Suitability – Concepts8 minutes
Suitability – Examples10 minutes
Performance Presentation – Basics9 minutes
Performance Presentation – Cases5 minutes
Preservation of Confidentiality12 minutes
Loyalty to Employer – Intro11 minutes
Loyalty to Employer – Duties9 minutes
Loyalty to Employer – Cases6 minutes

1 assignmentTotal 30 minutes

Client Relationships & Responsibilities30 minutes

Explore employer duties, supervisory responsibilities, communication standards, and recordkeeping for ethical workplace conduct.

What's included

8 videos1 assignment

8 videosTotal 72 minutes

Additional Compensation – Basics9 minutes
Additional Compensation – Cases12 minutes
Supervisor Responsibilities – Concepts11 minutes
Supervisor Responsibilities – Examples6 minutes
Diligence & Reasonable Basis – Intro9 minutes
Diligence & Reasonable Basis – Cases8 minutes
Communication with Clients – Basics7 minutes
Communication – Applications9 minutes

1 assignmentTotal 30 minutes

Professional Duties & Workplace Ethics 30 minutes

Learn to identify, disclose, and manage conflicts of interest while maintaining integrity and professional standards.

What's included

8 videos1 assignment

8 videosTotal 76 minutes

Record Retention10 minutes
Disclosure of Conflicts – Intro14 minutes
Disclosure of Conflicts – Cases7 minutes
Disclosure – Practical Issues12 minutes
Priority of Transactions – Basics10 minutes
Priority of Transactions – Cases6 minutes
Referral Fees12 minutes
Conduct as Members – Basics6 minutes

1 assignmentTotal 30 minutes

Managing Conflicts & Professional Standards30 minutes

Master CFA professional standards and GIPS guidelines for transparent performance reporting and global compliance.

What's included

10 videos1 assignment

10 videosTotal 54 minutes

Conduct as Members – Cases4 minutes
Reference to CFA Designation14 minutes
Course Introduction8 minutes
Purpose of GIPS4 minutes
GIPS Composites Explained4 minutes
GIPS Verification Process6 minutes
GIPS Objectives1 minute
GIPS Key Features6 minutes
Firm Definition in GIPS3 minutes
GIPS Structure Overview5 minutes

1 assignmentTotal 30 minutes

CFA Standards & GIPS Framework 30 minutes

Instructor

EDUCBA

1,625 Courses335,896 learners

Offered by

EDUCBA

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