Ethical and Professional Standards

John Molson School of Business

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John Molson School of Business

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About the course

The materials in this course present investment professionals or students with a framework for ethical conduct in the investment industry.

The materials in this course present investment professionals or students with a framework for ethical conduct in the investment industry. The CFA Institute’s Code of Ethics, Standards of Professional Conduct and Global Investment Performance Standards (GIPS) are used as educational notes because they are globally recognized as providing a high level of ethical and professional guidance to the investment practitioners by:

  • Placing the integrity of the profession and the interests of clients above personal interests;
  • Acting with integrity, competence, and respect;
  • Improving and maintaining professional competence.

This course aims to help investment professionals and students achieve high standards of ethics, integrity, and professional excellence which is are themselves the core of the mission at the CFA Institute.

Modules

Expert advice and in-depth features

NOTE: The modular nature of this program allows different learners to tailor their courses to their needs. You may choose to take one course (for interest, or for a personal need), a series of courses (for career advancement, for example), or a series of modules (for professional certification preparedness in a particular field).

Module 1: Code of Ethics and Standards of Professional Conduct Credit Hours: 16

Ethics are rules governing behavior and the treatment of others. Investment Ethics addresses the interactions and business dealings with various groups — clients, traders, employers, analysts, and other market participants. In this lesson, we learn about the Fiduciary Duty of Investment Professionals and the Ethical Treatment of the Client, the Ethical Reporting of Investment Performance, the Ethical Use of Information, and the maintenance of the Investment Professional’s Integrity. Specifically, we answer the question, “How can analysts and portfolio managers remain ethical in making investment decisions and recommendations?” We turn to the Standards of Professional Conduct, created and promoted by the CFA Institute, to provide guidance in dealing with potential ethical dilemmas faced by investment professionals.

Module 2: Global Investment Performance Standards Credit Hours: 4

Created and maintained by the CFA Institute, the Global Investment Performance Standards are a set of standardized, industry-wide ethical principles that provide investment firms with guidance on how to calculate and report their investment results to prospective clients. GIPS® provide firms with an ability to compete across the globe by standardizing investment performance calculation and presentation. They also provide investors with the ability to make comparisons about the qualifications and historical investment performance of firms regardless of where they are operating from. Organizations in 32 countries sponsor and promote GIPS standards.

Experts

Reena Atanasiadis

Bringing over two decades of wealth management and finance experience to the classroom, Reena Atanasiadis is Director of the John Molson School of Business’s (JMSB) MBA in InvestmentManagement, the world’s first MBA program fully integrating the Chartered Financial Analyst® Candidate Body of Know...

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Ethical and Professional Standards at John Molson School of Business

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