We introduce the world-wide accepted principle of financial ethics based on framework of the Charted Financial Analyst, and bring real global financial practices to discuss compliance issues in marketing, research and transactions in various capital markets. It covers a wide range of topics of the duties and responsibilities as a CFA member or candidate with the concentration on building professionalism, integrity, and appropriate dealing with conflicts of interest.
Theories & Applications of Financial Ethics
Dongbei University of Finance And Economics via XuetangX
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Syllabus
- LEC 1 Overview of Financial Ethics
- LEC 2 Code of Ethics & Standards of Professional Conduct
- LEC 3 Global Investment Performance Standards
- LEC 4 Billings & Fees
- LEC 5 CFA Institute
- LEC 6 Client Advice
- LEC 7 Client Relationships
- LEC 8 Disclosures
- LEC 9 Documentation
- LEC 10 Employment Issues
- LEC 11 Error Correction
- LEC 12 Investment & Trading
- LEC 13 Outside Activities
- LEC 14 Performance Reporting
- LEC 15 Personal Trading
- LEC 16 Promotion & Marketing
- LEC 17 Research
- LEC 18 Supervisory Responsibility
- LEC 19 Fintech Applications
- LEC 20 Comprehensive Cases
- Final Exam
Taught by
Zongyang Sun