Ethical Decision-Making for Investment Professionals

A CFA Society Atlanta Sponsored Event in Partnership with CFA Institute
 

Ethical Decision Making for Investment Professionals is a highly interactive, case-based webinar led by CFA Institute staff that will provide participants with the framework to analyze situations from an ethics perspective. The session provides an engaging exploration of ethical decision-making in the financial services industry, drawing on the CFA Institute’s Code of Ethics and Standards of Professional Conduct and the Ethical Decision-Making Framework.

The presentation will help participants:
•    Recognize and interpret ethical dilemmas in professional settings
•    Analyze complex situations where rules may be unclear or competing interests exist
•    Apply a structured approach and practical tools to make sound, ethical decisions

The course emphasizes interaction and reflection, using case studies, group discussions, and real-world examples.

The 60-minute session will include:
•    An examination of the factors that lead well-meaning individuals to make unethical decisions
•    An explanation of how to apply a framework for analysis of ethical dilemmas common in investment practice
•    Several case studies involving real-life situations with the opportunity for participants to vote on the appropriate conduct
•    A facilitated discussion of those studies that allow participants to apply ethical framework

SPEAKERS
Jon Stokes, JD | Jon Stokes is Director of Ethics & Professional Standards at CFA Institute. His responsibilities include developing, maintaining, and providing interpretation on the organization’s Code of Ethics and Standards of Professional Conduct, Asset Manager Code of Professional Conduct, and other ethics codes and standards. He has designed and created on-line ethics education programs for CFA Institute, including the CFA Institute Ethical Decision-Making and Giving Voice to Values education programs. Stokes has led numerous in-person and online ethics trainings for members, societies, and investment professionals and contributes to the ethics curriculum at all three levels of the CFA Program. He holds a JD degree. Back To Top ^^

Andrew Crain | Andrew Crain is Director of Ethics & Professional Standards at CFA Institute. Based in London, Andrew brings over 30 years of global experience across financial markets, compliance, and regulatory leadership, including roles at GoldenTree, PGIM, BlackRock, and major regulators. He leads the development and interpretation of CFA Institute’s ethics and professional standards across EMEA and APAC — ensuring integrity remains at the heart of the investment profession. Back To Top ^^