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Trust is a key part of the investment industry. The CFA operates on a strict ethical code which exam takers must know.  In this course, we’ll cover everything you need to know for the CFA section on Ethics.

We’ll cover areas such as the CFA code of ethics, Code violations and the need for ethical standards to be consistent between practitioners. We’ll also cover GIPS since understanding GIPS is a major facet of the CFA exam.


Learning Objectives

  • Discover the need for high ethical standards in the investment industry.
  • Recognize the six components of the Code of Ethics and the seven Standards of Professional Conduct.
  • Identify and distinguish between conduct that conforms to the Code and Standards and conduct that violates the Code and Standards.
  • Explore why the GIPS standards were created, what parties the GIPS standards apply to, and who is served by the standards.
  • Discover the key features of the GIPS standards and the fundamentals of compliance.
Last updated/reviewed: July 26, 2020

Included In Certifications

This course is included in the following Certification Programs:

11 CoursesCFA Level 1 Preparation

  1. CFA Level 1 Prep: Introduction to the CFA Exam
  2. CFA Level 1 Prep: 1 - Ethics and Professional Standards
  3. CFA Level 1 Prep: 2 - Quantitative Methods
  4. CFA Level 1 Prep: 3 - Economics
  5. CFA Level 1 Prep: 4 - Financial Reporting and Analysis
  6. CFA Level 1 Prep: 5 - Corporate Finance
  7. CFA Level 1 Prep: 6 - Equities Markets
  8. CFA Level 1 Prep: 7 - Fixed Income
  9. CFA Level 1 Prep: 8 - Derivatives
  10. CFA Level 1 Prep: 9 - Alternative Investments
  11. CFA Level 1 Prep: 10 - Portfolio Management


Course Complexity: Foundational

No advanced preparation or prerequisites are required for this course. However being part of a series, you may consider taking all related courses in sequence:

Education Provider Information

Illumeo, Inc., 75 East Santa Clara St., Suite 1215, San Jose, CA 95113
For more information regarding this course, including complaint and cancellation policies, please contact our offices at (408) 400- 3993 or send an e-mail to .
Course Syllabus
  5:18Ethics in The Investment Industry
  4:11The CFA Code of Ethics and Professional Conduct
  4:11CFA Professional Standards in Practice
  6:40GIPS and The CFA
  2:13Understand GIPS
  22:33CFA Level 1 Prep: 1 - Ethics and Professional Standards
  PDFSlides: CFA Level 1 Prep: 1 - Ethics and Professional Standards
  PDFCFA Level 1 Prep: 1 - Ethics and Professional Standards Glossary/ Index