Standards, Ethics and Regulations (SER)

18 March 2019

Ethics in Practice: New Professional Opportunities. Case for Week of 18 March

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

14 March 2019

Ethics in Practice: Client Cross Trades. Case and Analysis–Week of 11 March

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

07 March 2019

Ethics in Practice: Commodity Trading—Futures Contracts. Case and Analysis–Week of 4 March

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

28 February 2019

Ethics in Practice: Artificial Intelligence. Case and Analysis–Week of 25 February

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

21 February 2019

Ethics in Practice: Client Agreement Terms. Case and Analysis–Week of 18 February

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

15 February 2019

Ethics in Practice: Use of Client Trading Information. Case and Analysis–Week of 11 February

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

07 February 2019

Ethics in Practice: Corporate Disclosure. Case and Analysis–Week of 4 February

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

01 February 2019

Share Feedback on Ethical Considerations in the Use of Artificial Intelligence

The Standards of Practice Council wants to hear from you about the potential impact of artificial intelligence on the CFA Institute Code of Ethics and Standards of Professional Conduct. Consultation open until 29 March.

31 January 2019

Ethics in Practice: Use of Subadvisers. Case and Analysis–Week of 28 January

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

24 January 2019

Ethics in Practice: Political Expression. Case and Analysis–Week of 21 January

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

17 January 2019

Ethics in Practice: Mortgage-Backed Securities Credit Ratings. Case and Analysis–Week of 14 January

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

10 January 2019

Ethics in Practice: Counterparty Risk. Case and Analysis–Week of 7 January

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

20 December 2018

Ethics in Practice: Social Media Promotion. Case and Analysis–Week of 17 December

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

13 December 2018

Ethics in Practice: Overcharging Clients. Case and Analysis — Week of 10 December

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.

06 December 2018

Ethics in Practice: Accessing Firm Resources after Retirement. Case and Analysis–Week of 3 December

Test your knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct and practice your ethical decision making by working through the case below and supporting your answer choice in the conversation. Check back for the analysis posted later in the week.