READING ASSIGNMENTS
Reading 1 Code of Ethics and Standards of Professional Conduct
Reading 2 “Guidance” for Standards I – VII
Reading 3 Introduction to the Global Investment Performance Standards
(GIPS®)
Reading 4 Global Investment Performance Standards (GIPS®)
I Introduction
II Provisions of the Global Investment Performance Standards
II-0 Fundamentals of Compliance
The readings in this study session present a framework for ethical conduct in
the investment profession by focusing on the CFA Institute Code of Ethics and
Standards of Professional Conduct as well as the Global Investment Performance
Standards (GIPS®).
The principles and guidance presented in the CFA Institute Standards of
Practice Handbook (SOPH) form the basis for the CFA Institute self-regulatory
program to maintain the highest professional standards among investment
practitioners. “Guidance” in the SOPH addresses the practical application of the
Code of Ethics and Standards of Professional Conduct. The guidance reviews the
purpose and scope of each standard, presents recommended procedures for
compliance, and provides examples of the standard in practice.