Build practical skills to apply ethical principles in real financial situations with confidence. This course, CFA Level 1 - Ethics & Professional Standards Foundations of Integrity, helps you learn practical frameworks, professional guidelines, and decision-making tools used to maintain integrity in the investment profession.
Prepare for CFA Level 1: Ethics and Professional Standards
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深入了解一个主题并学习基础知识。
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Ideal for finance students, aspiring professionals, analysts, & anyone looking to build strong ethical decision-making skills in finance
2 周 完成
在 10 小时 一周
灵活的计划
自行安排学习进度
深入了解一个主题并学习基础知识。
初级 等级
推荐体验
推荐体验
初级
Ideal for finance students, aspiring professionals, analysts, & anyone looking to build strong ethical decision-making skills in finance
2 周 完成
在 10 小时 一周
灵活的计划
自行安排学习进度
您将学到什么
Apply the CFA code of ethics and standards of practice to evaluate ethical decisions in investment roles.
Identify conflicts of interest and apply professional code of conduct to protect client interests.
Analyze real financial scenarios using CFA standards to prevent misconduct and ethical violations.
Build ethical decision frameworks to handle compliance, transparency, and client responsibilities.
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April 2026
作业
26 项作业
授课语言：英语（English）
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积累特定领域的专业知识
本课程是 Prepare for CFA Level 1: Investment & Financial Basics 专项课程 专项课程的一部分
在注册此课程时，您还会同时注册此专项课程。
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该课程共有6个模块
This module introduces ethics as the foundation of trust in the investment profession. Learners explore career pathways in ethical finance, the distinction between ethical and legal responsibilities, and how professional standards uphold public trust. Decision-making frameworks and behavioral influences are introduced to prepare learners for ethical judgment under pressure.
涵盖的内容
14个视频5个作业
14个视频•总计137分钟
- Career Opportunities in Ethical Investment Management•10分钟
- Global Ethics Challenge in Finance Today•7分钟
- Navigating Global Ethics Challenges•8分钟
- Professional Pathways and Integrity Credentials•8分钟
- Defining Ethics in the Investment Profession•15分钟
- The Role of Ethics in Investor Confidence•10分钟
- Ethics vs. Legal standards: Beyond the Rules•12分钟
- How Professions Establish Public Trust•9分钟
- Codes, Standards, and Self-Regulation•9分钟
- Case Study- When Trust Breaks Down•11分钟
- Introducing the CFA Ethical Decision Framework•8分钟
- Stakeholders, Consequences, and Conflicts•11分钟
- Situational Influences and Bias in Ethical Judgment•10分钟
- Navigating Situational Pressures and Bias in Ethical Judgment•10分钟
5个作业•总计120分钟
- Career Scope in Ethical Finance•15分钟
- What is Ethics? Why It Matters•15分钟
- Professions and Trust•15分钟
- Decision Frameworks & Situational Influences•15分钟
- Ethics and Trust in the Investment Profession — Building a Culture of Integrity•60分钟
This module provides a structured overview of the CFA Institute Code of Ethics and the seven Standards of Professional Conduct. Learners examine the Professional Conduct Program, enforcement mechanisms, and how ethical principles translate into enforceable professional obligations.
涵盖的内容
8个视频3个作业
8个视频•总计71分钟
- Structure and Purpose of the Professional Conduct Program•12分钟
- Case Review- From Violation to Resolution•12分钟
- Overview of the Code of Ethics•4分钟
- Structure of the Seven Standards of Professional Conduct•6分钟
- Coverage of the Seven Standards of Professional Conduct•10分钟
- Standard I- Professionalism•8分钟
- Standards II-III- Integrity and Duties to Clients•9分钟
- Standards IV-VII- Responsibilities and Conduct•10分钟
3个作业•总计90分钟
- Professional Conduct Program•15分钟
- Standards I-VII Overview•15分钟
- The Code of Ethics and Standards of Professional Conduct — Foundations of Accountability•60分钟
This module focuses on applying Standards I–III in practical investment scenarios. Learners analyze cases involving knowledge of the law, independence and objectivity, misrepresentation, market integrity, and duties to clients. Emphasis is placed on identifying violations and implementing preventive controls.
涵盖的内容
15个视频5个作业
15个视频•总计148分钟
- Standard I(A)- Knowledge of the Law•10分钟
- Standard I(B)- Independence and Objectivity•10分钟
- Case Applications and Prevention Controls•11分钟
- Avoiding Misrepresentation in Research and Marketing•10分钟
- Misconduct- Gray Areas in Behavior•10分钟
- Maintaining Competence and Diligence•9分钟
- Standard II(A)- Material Nonpublic Information (MNPI)•11分钟
- Standard II(A)- Material Nonpublic Information (MNPI)- Case study•6分钟
- Standard II(B)- Market Manipulation and Trading Fairness•10分钟
- Case- Insider Information vs. Public Insight•9分钟
- Standard III(A)- Loyalty, Prudence, and Care•11分钟
- Standard III(B)- Fair Dealing•10分钟
- Standard III(C)- Suitability•11分钟
- Standard III(D)- Performance Presentation•11分钟
- Standard III(E)- Preservation of Confidentiality•10分钟
5个作业•总计120分钟
- Standards I(A)-I(B)- Knowledge of the Law, Independence, and Objectivity•15分钟
- Standards I(C)-I(E)- Misrepresentation, Misconduct, and Competence•15分钟
- Standard II - Integrity of Capital Markets•15分钟
- Standard III - Duties to Clients•15分钟
- Applying Standards I–III — Integrity in Practice•60分钟
This module extends ethical application to responsibilities toward employers, investment processes, conflicts of interest, and professional designation usage. Learners assess how ethical conduct must be embedded into organizational systems, supervision, disclosures, and communications.
涵盖的内容
11个视频5个作业
11个视频•总计95分钟
- Standard IV(A) Loyalty to Employer•8分钟
- Standard IV(A) Loyalty to Employer Case studies•6分钟
- Standard IV(B) Additional Compensation Arrangements•8分钟
- Standard IV(C) Responsibilities of Supervisors•8分钟
- Standard V(A)- Diligence and Reasonable Basis•10分钟
- Standard V(B)- Communication with Clients & Prospects•11分钟
- Standard V(C)- Record Retention•9分钟
- Standard VI(A) Disclosure of Conflicts•11分钟
- Standard VI(C) Referral Fees•8分钟
- Standard VII(A) Conduct as Participant in CFA Program•9分钟
- Standard VII(B) Use of CFA Credentials•7分钟
5个作业•总计120分钟
- Standard IV - Duties to Employers•15分钟
- Standard V - Investment Analysis, Recommendations, and Actions•15分钟
- Standard VI - Conflicts of Interest•15分钟
- Standard VII - Responsibilities as a CFA Member/Candidate•15分钟
- Applying Standards IV–VII — Professional Conduct in Action•60分钟
This module introduces the Global Investment Performance Standards (GIPS) and their role in promoting transparency and comparability in investment performance reporting. Learners examine firm definition, composite construction, discretion, and verification requirements.
涵盖的内容
10个视频5个作业
10个视频•总计92分钟
- Why GIPS Standards Were Created•6分钟
- Who Can Claim Compliance and Why It Matters•11分钟
- Firm Definition and Discretion Concepts•9分钟
- Composite Construction Basics•12分钟
- Common Implementation Errors•12分钟
- Defining and Grouping Portfolios•8分钟
- Discretion and Its Implications for Reporting•7分钟
- Practical Example- Firm-wide Composite Creation•9分钟
- Purpose and Process of Independent Verification•10分钟
- Communicating Compliance to Clients•9分钟
5个作业•总计120分钟
- Purpose, Scope, and Benefits•15分钟
- Key Concepts for Firms•15分钟
- Composites and Discretion•15分钟
- Verification Basics•15分钟
- Introduction to the GIPS Standards - Transparency and Trust in Reporting•60分钟
This capstone module integrates ethical knowledge with exam strategy. Learners practice end-to-end case analysis, develop defensible rationales, avoid common exam traps, and apply structured reasoning to maximize performance in the CFA Ethics section.
涵盖的内容
9个视频3个作业
9个视频•总计86分钟
- Analyzing Multi-Standard Scenarios•8分钟
- Identifying Core Issues and Violations•10分钟
- How to Structure Ethical Reasoning•10分钟
- Aligning Facts to Sub-Standards•9分钟
- Preventive Firm Procedures•14分钟
- Ambiguous Language and Common Traps•10分钟
- Misleading Scenarios and Gray Areas•10分钟
- Ethical vs. Legal Reasoning in Exams•4分钟
- How to Eliminate Distractors and Prioritize Ethics Items•11分钟
3个作业•总计90分钟
- Building Defensible Rationales•15分钟
- Common Pitfalls & Tricky Wording•15分钟
- Ethics Application and Exam Strategy - Mastering the CFA Ethics Section•60分钟
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常见问题
In this CFA Level 1 Ethics course, you will learn the CFA Code of Ethics, CFA Standards of Professional Conduct, and ethical decision-making frameworks used in the investment profession. The course explains how the code of ethics and standards of practice guide financial professionals in maintaining integrity and protecting client interests.
CFA ethics is one of the most important sections of the CFA Level 1 exam. Understanding the CFA code of ethics and CFA standards helps candidates analyze ethical scenarios, avoid violations, and apply professional conduct principles in real-world investment decisions.
The CFA Code of Ethics is a set of principles that guide investment professionals to act with integrity, competence, diligence, and respect toward clients and the financial markets. It forms the foundation of ethical behavior in the CFA Program.
The CFA Standards of Professional Conduct are detailed guidelines that explain how CFA members and candidates must behave in professional situations. These standards cover areas such as professionalism, integrity of capital markets, duties to clients, and conflicts of interest.
A code of ethics defines the values and principles guiding professional behavior, while a code of conduct provides specific rules and standards that professionals must follow in their work. In the CFA program, both work together to ensure ethical investment practices.
The Professional Conduct Program (PCP) is the system used by the CFA Institute to monitor and enforce compliance with the CFA code of ethics and standards of practice. It reviews potential violations and ensures accountability among CFA members and candidates.
In CFA ethics, conflicts of interest occur when a professional's personal interests could influence their decisions or recommendations. The CFA standards require professionals to disclose conflicts clearly and prioritize client interests.
Material nonpublic information (MNPI) refers to confidential information that could influence investment decisions if made public. According to CFA standards, professionals must not use MNPI for trading or share it with others.
Global Investment Performance Standards (GIPS) are ethical guidelines for reporting investment performance. They ensure transparency, consistency, and fairness when firms present investment results to clients.
This course includes real examples and scenario-based explanations to help you apply the CFA code of ethics and standards of professional conduct to practical situations, which is essential for solving CFA exam ethics questions.
No advanced finance knowledge is required. This course explains CFA ethics, code of conduct, and professional standards in a clear and structured way so beginners can understand ethical responsibilities in investment management.
This course is ideal for CFA Level 1 candidates, finance students, investment professionals, and anyone interested in learning ethical standards in finance and investment management.
This course is designed to be flexible so you can learn at your own pace. On average, it takes about 6 weeks to complete if you study for 4–5 hours per week. The course follows a flexible schedule, allowing you to progress through the lessons whenever it fits your routine, making it convenient for both students and working professionals.
The CFA code of ethics and standards of practice ensure that investment professionals act with integrity, fairness, and transparency. This builds trust between investors, financial institutions, and global capital markets.
To access the course materials, assignments and to earn a Certificate, you will need to purchase the Certificate experience when you enroll in a course. You can try a Free Trial instead, or apply for Financial Aid. The course may offer 'Full Course, No Certificate' instead. This option lets you see all course materials, submit required assessments, and get a final grade. This also means that you will not be able to purchase a Certificate experience.
When you enroll in the course, you get access to all of the courses in the Specialization, and you earn a certificate when you complete the work. Your electronic Certificate will be added to your Accomplishments page - from there, you can print your Certificate or add it to your LinkedIn profile.
Yes. In select learning programs, you can apply for financial aid or a scholarship if you can’t afford the enrollment fee. If fin aid or scholarship is available for your learning program selection, you’ll find a link to apply on the description page.
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