Level I CFA® Prep – Ethical and Professional Standards

Ethics and Trust in the Investment Profession [14min]
2 Nuggets | 1 Quiz
Importance of Ethics
Ethical Code and Standards
QUIZ: Ethics and Trust in the Investment Profession
Code of Ethics and Standards of Professional Conduct [8min]
1 Nugget | 1 Quiz
Code of Ethics and Standards of Professional Conduct
QUIZ: Code of Ethics and Standards of Professional Conduct
Guidance for Standards I–VII [95min]
9 Nuggets | 1 Quiz
Introduction to the Standards of Professional Conduct
Standard I: Professionalism
Standard II: Integrity of Capital Markets
Standard III: Duties to Clients (A,B)
Standard III: Duties to Clients (C,D,E)
Standard IV: Duties to Employers
Standard V: Investment Analysis, Recommendations, and Actions
Standard VI: Conflicts of Interest
Standard VII: Responsibilities as a CFA Institute Member or CFA Candidate
QUIZ: Guidance for Standards I-VII Quiz
Introduction to the Global Investment Performance Standards (GIPS) [9min]
1 Nugget | 1 Quiz
Introduction to GIPS
QUIZ: Global Investment Performance Standards Quiz
Ethics Application
L1 Summary Notes
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Importance of Ethics

Level I CFA® Prep – Ethical and Professional Standards Ethics and Trust in the Investment Profession [14min] Importance of Ethics
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Welcome to PrepNuggets

Hey Future CFA Charterholder,

Many years ago, I was exactly where you are today—a CFA Level I candidate juggling a demanding full-time career with the daunting CFA curriculum. Coming from a Computer Engineering background, finance was entirely new territory for me. And yes, it was tough!

I struggled with dense textbooks, late-night cramming, and the frustration of concepts that seemed impossible after a long workday. But after passing Level I (barely), I realized something had to change.

Studying Smarter, Not Harder

Using the Pareto Principle (80/20 rule), I distilled the vast CFA syllabus into essential, easy-to-understand nuggets. I leaned into visual summaries and bite-sized learning sessions that worked around my busy schedule. This smarter approach helped me clear Levels II and III on my first attempts with significantly less stress.

Why PrepNuggets?

I founded PrepNuggets to share the streamlined strategies and innovative learning methods that transformed my CFA journey. Our mission is simple: leverage technology to make CFA prep more effective, accessible, and enjoyable.

Join the PrepNuggets community today—sign up for your free account, and let our thoughtfully crafted materials propel you toward CFA success without unnecessary overwhelm.

Here’s to your CFA journey!

Keith Tan, CFA
Founder & Chief Instructor, PrepNuggets

About the Author

PrepNuggets

Keith is the founder and chief instructor of PrepNuggets. He has a wide range of interests in all things related to tech, from web development to e-learning, gadgets to apps. Keith loves exploring different cultures and the untouched gems around the world. He currently lives in Singapore but frequently travels to share his knowledge and expertise with others.

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