Course curriculum

  • 1

    The Value of CFA and Ethics

    • 10 Ways Ethics Adds Value to You

    • How CFA can help you build a successful career

    • Bonus - How to get out of trouble

    • Bonus - Summary of Standards of Professional Conduct

  • 2

    1. Professionalism

    • Download the cheat sheet for the CFA Standards

    • 1A. Knowledge of the Law

    • Quiz: 1A. Knowledge of the Law

    • 1B. Independence and Objectivity

    • Quiz: 1B. Independence and Objectivity

    • 1C. Misrepresentation

    • Quiz: 1C. Misrepresentation

    • 1D. Misconduct

    • Quiz: 1D. Misconduct

  • 3

    2. Integrity of capital markets

    • 2A. Material Nonpublic Information

    • Quiz: 2A. Material Nonpublic Information

    • 2B. Market Manipulation

    • Quiz: 2B. Market Manipulation

  • 4

    3. Duties to clients

    • 3A. Loyalty, Prudence, and Care

    • Quiz: 3A. Loyalty, Prudence, and Care

    • 3B. Fair Dealing

    • Quiz: 3B. Fair Dealing

    • 3C. Suitability

    • Quiz: 3C. Suitability

    • 3D. Performance Presentation

    • Quiz: 3D. Performance Presentation

    • 3E. Preservation of Confidentiality

    • Quiz: 3E. Preservation of Confidentiality

  • 5

    4. Duties to employers

    • 4A. Loyalty

    • Quiz: 4A. Loyalty

    • 4B. Additional Compensation Arrangements

    • Quiz: 4B. Additional Compensation Arrangements

    • 4C. Responsibilities of Supervisors

    • Quiz: 4C. Responsibilities of Supervisors

  • 6

    5. Investment analysis, recommendations, and actions

    • 5A. Diligence and Reasonable Basis

    • Quiz: 5A. Diligence and Reasonable Basis

    • 5B. Communication with Clients and Prospective Clients

    • Quiz: 5B. Communication with Clients and Prospective Clients

    • 5C. Record Retention

    • Quiz: 5C. Record Retention

  • 7

    6. Conflicts of interest

    • 6A. Disclosure of Conflicts

    • Quiz: 6A. Disclosure of Conflicts

    • 6B. Priority of Transactions

    • Quiz: 6B. Priority of Trnsactions

    • 6C. Referral Fees

    • Quiz: 6C. Referral Fees

  • 8

    7. Responsibilities as a CFA Institute member or CFA candidate

    • 7A. Conduct as participants in the CFA program

    • Quiz: 7A. Conduct as participants in the CFA program

    • 7B. Reference to CFA Institute, CFA Designation, and CFA Program

    • Quiz: 7B. Reference to CFA Institute, CFA Designation, and CFA program

  • 9

    FINAL EXAM

    • Submit your final exam