Level I Ethics Workshop
This discussion will follow CFA Institute’s Learning Outcome Statements for 2023 Level I CFA Curriculum Volume 6 Ethical and Professional Standards Modules 1-3:
- Explain Ethics.
- Describe the role of a code of ethics in defining a profession.
- Describe professions and how they establish trust .
- Describe the need for high ethical standards in investment management.
- Explain professionalism in investment management.
- Identify challenges to ethical behavior compare and contrast ethical standards with legal standards.
- Describe a framework for ethical decision making.
- Describe the structure of the CFA Institute Professional Conduct Program and the process for the enforcement of the Code and Standards.
- Identify the six components of the Code of Ethics and the seven Standards of Professional Conduct.
- Explain the ethical responsibilities required by the Code and Standards, including the sub-sections of each Standard.
- Demonstrate the application of the Code of Ethics and Standards of Professional Conduct to situations involving issues of professional integrity.
- Recommend practices and procedures designed to prevent violations of the Code of Ethics and Standards of Professional Conduct.
- Identify conduct that conforms to the Code and Standards and conduct that violates the Code and Standards.
Ken Yee, CFA, CPA, JD | is the president of an investment advisory company specializing in commercial real estate capital sourcing and asset-backed securities. He has completed over $1 billion in commercial mortgage sales, originations, and asset-backed transactions on behalf of public and private institutions. Mr. Yee also serves as an Independent Director and Audit Committee Chair of KBS Strategic Opportunity REITs I and II, which are two SEC-registered non-traded REITs. He recently completed a second elected term as the Western U.S. Region Presidents Council Representative (PCR) for the CFA Institute, and was a past President of CFA Society Los Angeles. Mr. Yee is a California Certified Public Accountant, a California licensed attorney, and a California real estate broker. He graduated from the University of Southern California (BSBA, MBA and MBT), University of California at Los Angeles (JD), and Massachusetts Institute of Technology (MSRED). Back To Top ^^
Dr. Lawrence Harris, CFA, PhD
James Lewis, CFA, CIPM
|As a participant in the CFA Institute Approved-Provider Program, the CFA Society of Los Angeles has determined that this program qualifies for 1.5 credit hour. If you are a CFA Institute member, SER credit for your participation in this program will be automatically recorded in your CE Diary.|