Level I Ethics Workshop - Dec 2024

DEC
14

Saturday, 9:30 am - 11:30 am

Location:

Zoom Meeting

Speaker:

SPEAKER
Ken Yee, CFA, CPA, JD— President, Ridgecrest Capital, Inc.

Time:

9:30 am - 11:30 am

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A Candidate Engagement Advisory Council sponsored event.

Professions can only exist within an industry when those acting with transparency, integrity, candor, and trust reach a critical mass. Come join Ken Yee, CFA, CPA, JD as he analyses CFA Institute’s Code of Ethics and Standards of Professional Conduct within the Level I CFA Curriculum as well as provide some test taking tips for the Level I exam.

This discussion will follow CFA Institute’s Learning Outcome Statements for 2025 Level I CFA Curriculum Volume 6 Ethical and Professional Standards Modules 1-3:

  • Explain Ethics.
  • Describe the role of a code of ethics in defining a profession.
  • Describe professions and how they establish trust.
  • Describe the need for high ethical standards in investment management.
  • Explain professionalism in investment management.
  • Identify challenges to ethical behavior compare and contrast ethical standards with legal standards.
  • Describe a framework for ethical decision making.
  • Describe the structure of the CFA Institute Professional Conduct Program and the process for the enforcement of the Code and Standards.
  • Identify the six components of the Code of Ethics and the seven Standards of Professional Conduct.
  • Explain the ethical responsibilities required by the Code and Standards, including the sub-sections of each Standard.

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 Pacific Oak Strategic Opportunity REIT, which is an SEC-registered non-traded REIT.  Mr. Yee has previously completed two terms as the CFA Institute Western U.S. Region Presidents Council Representative (PCR), 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).
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Registration Fees
Free 

Registration is open to everyone. You do NOT need to be a member of CFA Society Los Angeles to register.

Chairs:
Dr. Lawrence Harris, CFA, PhD
James Lewis, CFA, CIPM
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