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Additional info for CFA program curriculum : 2017 level 1

Sample text

For simplicity, we will discuss the phases sequentially. In the initial phase, you will want to identify the important facts that you have available to you, as well as information that you may not have but would like to have to give yourself a more complete understanding of the situation. You will also want to identify the stakeholders—clients, family, colleagues, your employer, market participants, and so forth—and the duties you have to each of them. You will then want to identify relevant ethical principles and/or legal requirements that might apply to the situation.

First, compliance with the rule reduces the risk that clients will invest in securities without understanding the risks involved, which, in turn, reduces the risk that clients will file complaints and/or take legal action if their investments decline in value. Complying with the rules also reduces the risk that regulators will initiate an investigation, file charges, or/and discipline or sanction you and/or your employer. Any of these actions could jeopardize the reputation and future prospects of you and your employer.

In an interconnected global economy and marketplace, each market participant must strive to understand how his or her decisions and actions, and the products and services he or she provides, may affect others not just in the short term but also the long term. The investment industry serves society by matching those who supply capital, or money, with those who seek capital to finance, or fund, their activities. For simplicity, let us refer to those who supply capital as investors and those who seek capital as borrowers.

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