Standard 1(A) – Knowledge of the Law
I. Professionalism Standard I is broad in scope and directed toward competence within... Read More
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Ethical and Professional Standards (2024)
LM 1 – Ethics and Trust in the Investment Profession
LOS a: Explain ethics
LOS b: Describe the role of a code of ethics in defining a profession
LOS c: Describe professions and how they establish trust
LOS d: Describe the need for high ethical standards in investment management
LOS e: Explain professionalism in investment management
LOS f: Identify challenges to ethical behavior
LOS g: Compare and contrast ethical standards with legal standards
LOS h: Describe a framework for ethical decision making
LM 2 – Code of Ethics and Standards of Professional Conduct
LOS a: Describe the structure of the CFA Institute Professional Conduct Program and the process for the enforcement of the Code and Standards
LOS b: Identify the six components of the Code of Ethics and the seven Standards of Professional Conduct
LOS c: Explain the ethical responsibilities required by the Code and Standards, including the sub-sections of each Standard
LM 3 – Guidance for Standards I-VII
LOS a: Demonstrate the application of the Code of Ethics and Standards of Professional Conduct to situations involving issues of professional integrity
LOS b: Identify conduct that conforms to the Code and Standards and code that violates the Code and Standards
LOS c: Recommend practices and procedures designed to prevent violations of the Code of Ethics and Standards of Professional Conduct
LM 4 – Introduction to the Global Investment Performance Standards
LOS a: Explain why the GIPS standards were created, who can claim compliance, and who benefits from compliance
LOS b: Describe the key concepts of the GIPS Standards for firms
LOS c: Explain the purpose of composites in performance reporting
LOS d: Describe the fundamentals of compliance, including the recommendations of the GIPS Standards with respect to the definition of the firm and the firm’s definition of discretion
LOS e: Describe the concept of independent verification
LM 5 – Ethics Application
LOS a: Evaluate practices, policies, and conduct relative to the CFA Institute Code of Ethics and Standards of Professional Conduct
LOS b: Explain how the practices, policies, and conduct do or do not violate the CFA Institute Code of Ethics- and Standards of Professional Conduct
2026/2027 Curriculum
Learning Module 1: Ethics and Trust in the Investment Profession
LOS b: Describe the role of a code of ethics in defining a profession
LOS c: Describe professions and how they establish trust
LOS d: Describe the need for high ethical standards in investment management
LOS e: Explain professionalism in investment management
LOS f: Identify challenges to ethical conduct
LOS g: Compare and contrast ethical standards with legal standards
LOS h: Describe a framework for ethical decision-making
Learning Module 2: Code of Ethics and Standards of Professional Conduct
Ethics Learning Module 3: Guidance of Standards
Learning Module 4: Guidance for Standard II: Integrity of Capital Markets
Learning Module 5: Guidance for Standard III: Duties to Clients
LOS a: Guidance for Standard III: Duties to Clients
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Sergio Torrico
2021-07-23
Excelente para el FRM 2
Escribo esta revisión en español para los hispanohablantes, soy de Bolivia, y utilicé
AnalystPrep para dudas y consultas sobre mi preparación para el FRM nivel 2 (lo tomé una sola vez y aprobé muy bien), siempre tuve un soporte claro, directo y rápido, el material sale rápido cuando hay cambios en el temario de GARP, y los ejercicios y exámenes son muy útiles para practicar.
diana
2021-07-17
So helpful. I have been using the videos to prepare for the CFA Level II exam. The videos signpost the reading contents, explain the concepts and provide additional context for specific concepts.
The fun light-hearted analogies are also a welcome break to some very dry content.
I usually watch the videos before going into more in-depth reading and they are a good way to avoid being overwhelmed by the sheer volume of content when you look at the readings.
Kriti Dhawan
2021-07-16
A great curriculum provider. James sir explains the concept so well that rather than memorising it, you tend to intuitively understand and absorb them.
Thank you ! Grateful I saw this at the right time for my CFA prep.
nikhil kumar
2021-06-28
Very well explained and gives a great insight about topics in a very short time. Glad to have found Professor Forjan's lectures.
Marwan
2021-06-22
Great support throughout the course by the team, did not feel neglected
Benjamin anonymous
2021-05-10
I loved using AnalystPrep for FRM.
QBank is huge, videos are great.
Would recommend to a friend
Daniel Glyn
2021-03-24
I have finished my FRM1 thanks to AnalystPrep. And now using AnalystPrep for my FRM2 preparation. Professor Forjan is brilliant. He gives such good explanations and analogies. And more than anything makes learning fun. A big thank you to Analystprep and Professor Forjan. 5 stars all the way!
michael walshe
2021-03-18
Professor James' videos are excellent for understanding the underlying theories behind financial engineering / financial analysis. The AnalystPrep videos were better than any of the others that I searched through on YouTube for providing a clear explanation of some concepts, such as Portfolio theory, CAPM, and Arbitrage Pricing theory. Watching these cleared up many of the unclarities I had in my head. Highly recommended.