Level III Ethics Workshop - January 2025
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JAN
11
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A Candidate Engagement Advisory Council sponsored event.
Professions can only exist within an industry when those acting with transparency, integrity, candor, and trust reach a critical mass. Come join Erik Johnsen, CFA, CIPM, CPA as he analyses CFA Institute’s Code of Ethics and Standards of Professional Conduct and its relationship to the Asset Manager Code within the Level III CFA Curriculum.
This discussion will follow CFA Institute’s Learning Outcome Statements for 2025 Level III CFA Curriculum Volume 5, Module 1-4:
- Describe the structure of the CFA Institute Professional Conduct Program and the disciplinary review process for the enforcement of the CFA Institute Code of Ethics and Standards of Professional Conduct.
- Explain the ethical responsibilities required by the Code and Standards, including the sub-sections of each standard.
- Demonstrate a thorough knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct by interpreting the Code and Standards in various situations involving issues of professional integrity.
- Recommend practices and procedures designed to prevent violations of the Code and Standards.
- Evaluate practices, policies, and conduct relative to the CFA Institute Code of Ethics and Standards of Professional Conduct.
- Explain how the practices, policies, or conduct does or does not violate the CFA Institute Code of Ethics and Standards of Professional Conduct.
- Explain the purpose of the Asset Manager Code and the benefits that may accrue to a firm that adopts the Code.
- Explain the ethical and professional responsibilities required by the six General Principles of Conduct of the Asset Manager Code.
- Determine whether an asset manager’s practices and procedures are consistent with the Asset Manager Code.
- Recommend practices and procedures designed to prevent violations of the Asset Manager Code.
SPEAKER
Erik Johnsen, CFA, CIPM, CPA | Erik Johnsen, CFA, CIPM, CPA, has been working in the fields of professional standards, performance measurement, and GIPS for over 20 years. Erik started his career as a Research Analyst at William O’Neil + Co., and then began a long career in verifications and consulting for the Global Investment Performance Standards (GIPS). Erik is a co-founder of Cairn Investment Performance Consulting, and in addition to leading verification and performance measurement projects for investment advisors around the world, he leads a review course for the Certificate in Investment Performance Measurement (CIPM). Erik is a member of CFALA, and received in BA in Political Science and Economics from UCLA. Back To Top ^^
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Registration Fees Registration is open to everyone. You do NOT need to be a member of CFA Society Los Angeles to register. |
Dr. Lawrence Harris, CFA, PhD
James Lewis, CFA, CIPM
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CFA Society Los Angeles has determined that this program qualifies for 1.5 PL credit hours, including 1.5 hours in the content areas of Standards, Ethics, and Regulations (SER), under the guidelines of the CFA Institute Professional Learning program. If you are a CFA Institute member and a CFA Society Los Angeles Member, PL credit for your participation in this program will be automatically recorded in your PL tracking tool. |
