07-22-2023 Level III Ethics Workshop

• Describe the structure of the CFA Institute Professional Conduct Program and the disciplinary review process for the enforcement of the CFA Institute Code of Ethics and Standards of Professional Conduct.
• Explain the ethical responsibilities required by the Code and Standards, including the sub-sections of each standard.
• Demonstrate a thorough knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct by interpreting the Code and Standards in various situations involving issues of professional integrity.
• Recommend practices and procedures designed to prevent violations of the Code and Standards.
• Evaluate practices, policies, and conduct relative to the CFA Institute Code of Ethics and Standards of Professional Conduct.
• Explain how the practices, policies, or conduct does or does not violate the CFA Institute Code of Ethics and Standards of Professional Conduct.
• Explain the purpose of the Asset Manager Code and the benefits that may accrue to a firm that adopts the Code.
• Explain the ethical and professional responsibilities required by the six General Principles of Conduct of the Asset Manager Code.
• Determine whether an asset manager’s practices and procedures are consistent with the Asset Manager Code.
• Recommend practices and procedures designed to prevent violations of the Asset Manager Code.

SPEAKER

Ken Yee, CFA, CPA, JD | is the president of an investment advisory company specializing in commercial real estate capital sourcing and asset-backed securities. He has completed over $1 billion in commercial mortgage sales, originations, and asset-backed transactions on behalf of public and private institutions. Mr. Yee also serves as an Independent Director and Audit Committee Chair of KBS Strategic Opportunity REITs I and II, which are two SEC-registered non-traded REITs. He recently completed a second elected term as the Western U.S. Region Presidents Council Representative (PCR) for the CFA Institute, and was a past President of CFA Society Los Angeles. Mr. Yee is a California Certified Public Accountant, a California licensed attorney, and a California real estate broker. He graduated from the University of Southern California (BSBA, MBA and MBT), University of California at Los Angeles (JD), and Massachusetts Institute of Technology (MSRED). Back To Top ^^