Articles
Standard VI (A) - Disclosure of Conflicts
This standard has three parts: A. Disclosure of ConflictsB. Priority of TransactionsC. Referral Fees A. Disclosur...
Standard V (C) - Record Retention
Members and Candidates must develop and maintain appropriate records to support their investment analysis, recommendati...
Standard V (B) - Communication with Clients and Prospective ...
This standard states that the members disclose their investment processes to clients and prospective clients. This incl...
Standard V (A) - Diligence and Reasonable Basis
This standard has two parts: A. Diligence and Reasonable BasisB. Communication with Clients and Prospective ClientsC...
Standard IV (C) - Responsibilities of Supervisors
This standard states that if the members have any supervisory responsibilities, they should fulfil them and make reason...
Standard IV (B) - Additional Compensation Arrangements
This standard states that the members must not accept any gift, benefits or compensation in any form that creates a con...
Standard IV (A) - Loyalty
This standard has three parts: LoyaltyAdditional Compensation ArrangementsResponsibilities of Supervisors A. Loya...
Standard III (E) - Preservation of Confidentiality
The members must maintain the confidentiality of all their client’s information (past, current, or prospective), unless...
Standard III (D) - Performance Presentation
The members must ensure that the investment performance being communicated to the clients is fair, accurate, and comple...
Standard III (C) - Suitability
Before making an investment recommendation or action, the members must reasonably enquire into the client’s investment ...
Standard III (B) - Fair Dealing
Members and Candidates must deal fairly and objectively with all clients when providing investment analysis, making inv...
Standard III (A) - Loyalty, Prudence, and Care
Members have a duty of loyalty to their clients and must act with reasonable care and exercise prudent judgment. Member...
Standard II (B) - Market Manipulation
As per this standard, the Members and Candidates must not engage in practices that distort prices or artificially infla...
Standard II (A) - Material Non-public Information
The second standard, integrity, has two sub-parts: Material Non-public InformationMarket Manipulation II (A) Mate...
Standard I (D) Professionalism - Misconduct
The CFA members and candidates should not engage in any kind of misconduct, such as fraud, dishonesty or deceit, or any...
Standard I (C) Professionalism - Misrepresentation
Members and Candidates must not knowingly misrepresent any information relating to investment analysis, recommendations...
Standard I (B) Professionalism - Independence and Objectivit...
The members and candidates must act with independence and objectivity while performing their professional activities. T...
Standard I (A) Professionalism - Knowledge of the Law
The first standard, professionalism, has four sub-parts: Knowledge of the LawIndependence and objectivityMisrepresen...
Seven Standards of Professional Conduct
In this section we will study the seven standards of professional conduct in detail. The CFA members and candidates are...
Standard VII – Responsibilities of a CFA Institute Member or...
This standard has two parts: A. Conduct as Members and Candidates in the CFA Program This standard states that th...
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