Credit Hours: 16
Ethics are rules governing behavior and the treatment of others. Investment Ethics addresses the interactions and business dealings with various groups — clients, traders, employers, analysts, and other market participants. In this lesson, we learn about the Fiduciary Duty of Investment Professionals and the Ethical Treatment of the Client, the Ethical Reporting of Investment Performance, the Ethical Use of Information, and the maintenance of the Investment Professional’s Integrity. Specifically, we answer the question, “How can analysts and portfolio managers remain ethical in making investment decisions and recommendations?” We turn to the Standards of Professional Conduct, created and promoted by the CFA Institute, to provide guidance in dealing with potential ethical dilemmas faced by investment professionals.