Course 12 · Intermediate
Compliance, Ethics & Behavioral Finance
The regulatory and behavioral guardrails that govern a real trading career. The frameworks every CFA candidate learns; the cognitive biases Kahneman and Tversky catalogued; and the published research on what discipline looks like in practice.
Modules
3
Lessons
0/3
Hours
7
Curriculum
3 modules · 3 lessons
MiFID II in Europe, Reg NMS in the US, position limits, best-execution duties, and reporting obligations.
Progress
0/1
The CFA-aligned ethical framework: integrity, fiduciary duty, fair dealing, material non-public information.
Progress
0/1
Prospect theory, loss aversion, mental accounting — the academic framing of why traders self-sabotage.
Progress
0/1
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