[CFA Level I] 2, Ethical Decisions When the Legal Minimum Is Not Enough

Podcast: Finance Exam Prep · Ran Chen, EA, CFP®

Opublikowano: 2026-10-21

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: * How ethical expectations differ from mere legal compliance in investment decision making * The core principle of Standard I(A) Knowledge of the Law regarding conflicting requirements * Why members and candidates must always adhere to the stricter law, rule, or regulation * Common exam traps involving rationalizations, disclosure limits, and local custom arguments * A p...