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CFA PROGRAM
CURRICULUM
2017 LEVEL I
VOLUMES 1–6
WILEY END USER LICENSE
AGREEMENT
Go to www.wiley.com/go/eula to access Wiley’s ebook
EULA.
ETHICAL AND
PROFESSIONAL
STANDARDS AND
QUANTITATIVE
METHODS
CFA
®
Program Curriculum
2017
•
LEVEL I
•
VOLUME 1
Photography courtesy of Hector Emanuel.
© 2016, 2015, 2014, 2013, 2012, 2011, 2010, 2009, 2008, 2007, 2006 by CFA Institute.
All rights reserved.
This copyright covers material written expressly for this volume by the editor/s as well
as the compilation itself. It does not cover the individual selections herein that first
appeared elsewhere. Permission to reprint these has been obtained by CFA Institute
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This publication is designed to provide accurate and authoritative information in regard
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ISBN 978-1-942471-67-7 (paper)
ISBN 978-1-942471-88-2 (ebk)
10 9 8 7 6 5 4 3 2 1
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CONTENTS
How to Use the CFA Program Curriculum
Curriculum Development Process
Organization of the Curriculum
Features of the Curriculum
Designing Your Personal Study Program
Feedback
ix
ix
x
x
xi
xiii
Ethical and Professional Standards
Study Session 1
Reading 1
Ethical and Professional Standards
Ethics and Trust in the Investment Profession
Introduction
Ethics
Ethics and Professionalism
Challenges to Ethical Conduct
The Importance of Ethical Conduct in the Investment Industry
Ethical vs. Legal Standards
Ethical Decision-Making Frameworks
Applying the Framework
Conclusion
Summary
Code of Ethics and Standards of Professional Conduct
Preface
Evolution of the CFA Institute Code of Ethics and Standards of
Professional Conduct
Standards of Practice Handbook
Summary of Changes in the Eleventh Edition
CFA Institute Professional Conduct Program
Adoption of the Code and Standards
Acknowledgments
Ethics and the Investment Industry
Why Ethics Matters
CFA Institute Code of Ethics and Standards of Professional Conduct
Preamble
The Code of Ethics
Standards of Professional Conduct
Guidance for Standards I–VII
Standard I: Professionalism
Standard I(A) Knowledge of the Law
Guidance
Recommended Procedures for Compliance
Application of the Standard
indicates an optional segment
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Reading 2
Reading 3

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