Ethics on financial/investment field (1)

Ethics are very important in financial/investment professionals, especiallly to those that are advising customers/investors directly. Whenever there are financial scandals, questions related to ethics will be asked, especially by investors that are "victimised".

What are the ethics relevant to financial/investment professionals ?
Are ethics incorporated into curriculums ?
Are there laws/regulations governing ethics of financial/investment professionals ?
Can they be sued ? Can we recover the losses ?
… the list goes on…

Many of the questions are too big for me. Let’s explore..

Let’s take a look whether Ethics materials are included in curriculum of financial/investment professionals and what the aspects of Ethics are.

I look for the curriculum of financial/investment professionals from websites mentioned in my previous post.

CFP’s curriculum:
Code of Ethics and Professional Responsibility and Disciplinary Rules and Procedures,
Financial Planning Practice Standards,
Disciplinary Rules and Procedures.

CFA Institute’s curriculum:
Code of Ethics and Standards of Professional Conduct,
"Guidance" for Standards I-VII

CAIA’s curriculum:
CAIA is using CFA Institute Standards of Professional Conduct

FRM’s curriculum:
couldn’t find material on ethics from its website.
Maybe because risk management is more of technical work and involves less direct dealings with customers/investors.