Learning Outcome Statements

1. Ethics

a. explain ethics;

2. Ethics and Professionalism

b. describe the role of a code of ethics in defining a profession;

3. Challenges to Ethical Conduct

c. identify challenges to ethical behavior;

4. The Importance of Ethical Conduct in the Investment Industry

d. describe the need for high ethical standards in the investment industry;

5. Ethical vs. Legal Standards

e. distinguish between ethical and legal standards;

6. Ethical Decision-Making Frameworks

f. describe and apply a framework for ethical decision making.