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ETHICS
IN PRACTICE
ETHICS IN INVESTMENT MANAGEMENT CASEBOOK
ETHICS IN PRACTICE
This book is a collection of 100 Ethics in Practice cases originally published on-line by CFA Institute
over the course of two years. Since October 2017, at the beginning of each week, CFA Institute
published a short vignette on the CFA Institute Members App asking readers to use their ethical
decision-making skills to review the facts and choose the best response to a multiple-choice
question. At the end of the week, after readers had a chance to analyze the situation, choose a
response, and post their response and reasoning, CFA Institute published the analysis providing an
analysis of the case and the correct response. These cases are drawn from real-world circumstances,
regulatory enforcement actions, CFA Institute Professional Conduct investigations, and facts
submitted by CFA Institute members and volunteers.
This Ethics in Practice casebook is a great resource for continued professional learning (each case
qualifies for 0.25 CE/SER credit) or for use in classroom discussions. It gives you an opportunity to
“exercise” your ethical decision-making skills. Just as you need to practice to become proficient at
playing a musical instrument, public speaking, or playing a sport, working through the scenarios in
this book will allow you to develop your skill at assessing and analyzing investment-related situations
and making ethical decisions. We encourage you to assess the cases through the lens of the CFA
Institute Code of Ethics and Standards of Professional Conduct and to apply the CFA Institute Ethical
Decision-Making Framework.
ETHICS IN PRACTICE
Ethics in Investment Management Casebook
© 2019 CFA Institute. Second Edition, October 2019.
All rights reserved. You may copy and distribute the individual cases in this book, but not the book in its entirety, and without
modification and for non-commercial purposes, provided you attribute the content to CFA Institu
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