Overview
In this journal, you will discuss the ethical considerations faced in your role as a financial advisor for your selected client. Begin by reviewing the CFA Institute’s Code of Ethics and Standards of Professional Conduct, which can be found in the module resources. Then, review the additional links about further ethical considerations for finance professionals—particularly ethical considerations with the use of artificial intelligence (AI).
Directions
In your journal, discuss the link between your adherence to a code of ethics and the performance of your duties as an investment professional working specifically for the client in this case. Address the questions below.
Specifically, you must address the following rubric criteria:
What are your observations on the applicability of the code so far in managing the portfolio? Based on this client’s risk tolerance and goals, are you able to maintain a fiduciary standard for managing their portfolio?
What ethical concerns do you see arising from AI for financial professionals? How might these concerns affect the client and you in this case?
Will you be refining any methods used to date based on these ethical concerns?
Client overview is attached
Portfolio Structure
• 45% in High-Growth US Stocks like ASML, Enphase Energy, and Amgen, each with 15% allocations of the total investment, which combines to give an FV of $1,224,838. • Thematic EFTs are 30% of the total investment with two ETFs, namely VanEck Vectors Rare Earth ETF and First Trust Cloud Computing ETF, with 15% each for investment, and due to its ability to capitalize on future technology trends, the estimated FV of these would be $852,649.
• Two International Growth stocks, Mercado Libre and Li Auto, with 7.5% each investment, provide a return in the future amounting to $626,539. • Alternative investment through iShares US Technology ETF and Global X US Preferred ETF with an investment of 5% each provides stability and contributes $289,820.
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