Paper 02: Professional Ethics and Governance

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About Course

The Professional courses are administered at Foundation, Intermediate and Advanced Levels. Each level requires an average of one year, though candidates are advised to provide for an additional one year to meet requirements for internship/ practical experience.

A student must book for a minimum of three papers in a level in any order unless is exempted or has credits.

This course is aimed at persons who wish to qualify and work or practice as investment, securities and financial analysts, portfolio managers, investment bankers, fund managers, consultants on national and global financial markets and related areas.

Course Content


  • Lesson 1

Overview of Professional Ethics

Ethical Theories

Ethics and Investment Industry

Generally Accepted code of Ethics and Standards of Professional Conduct

Globally Investment Performance Standards-GIPS

Overview of Governance

Theories of Corporate Governance

Emotional Intelligence
Meaning of Emotional Intelligence

Accountability, Risk Management and Internal Controls

Stakeholder Management

Case studies in professional Values and Governance

Contemporary Issues and Emerging Trends

Stakeholder Management Revision
Revision questions

Notes ‘pdf’ and past papers

Online Class Link

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