Seven Standards of Professional Conduct- In this section we will study the seven standards of professional conduct in detail. The CFA members...
COURSE
Guidance for Standards I - VII
This course is a part of CFA Level I study material.
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Study Notes for CFA Level I
- The first standard, professionalism, has four sub-parts: - Knowledge of the Law - Independence ...
- The members and candidates must act with independence and objectivity while performing their profess...
- Members and Candidates must not knowingly misrepresent any information relating to investment analys...
- The CFA members and candidates should not engage in any kind of misconduct, such as fraud, dishonest...
- The second standard, integrity, has two sub-parts: - Material Non-public Information - Market M...
- As per this standard, the Members and Candidates must not engage in practices that distort prices or...
- Members have a duty of loyalty to their clients and must act with reasonable care and exercise prude...
- Members and Candidates must deal fairly and objectively with all clients when providing investment a...
- 1. Before making an investment recommendation or action, the members must reasonably enquire into t...
- The members must ensure that the investment performance being communicated to the clients is fair, a...
- The members must maintain the confidentiality of all their client’s information (past, current, or p...
- This standard has three parts: - Loyalty - Additional Compensation Arrangements - Responsibil...
- This standard states that the members must not accept any gift, benefits or compensation in any form...
- This standard states that if the members have any supervisory responsibilities, they should fulfil t...
- This standard has two parts: - A. Diligence and Reasonable Basis - B. Communication with Client...
- This standard states that the members disclose their investment processes to clients and prospective...
- Members and Candidates must develop and maintain appropriate records to support their investment ana...
- This standard has three parts: - A. Disclosure of Conflicts - B. Priority of Transactions - C...
- This standard states that for a member the investment transactions for his clients and employers sho...
- This standard states that if a member receives any referral fees (compensation or benefit) for recom...
- This standard has two parts: 1. Conduct as Members and Candidates in the CFA Program 2. Reference...
LESSONS
Standard I (A) Professionalism - Knowledge of the ...
Standard I (B) Professionalism - Independence and ...
Standard I (C) Professionalism - Misrepresentation
Standard I (D) Professionalism - Misconduct
Standard II (A) - Material Non-public Information
Standard II (B) - Market Manipulation
Standard III (A) - Loyalty, Prudence, and Care
Standard III (B) - Fair Dealing
Standard III (C) - Suitability
Standard III (D) - Performance Presentation
Standard III (E) - Preservation of Confidentiality
Standard IV (A) - Loyalty
Standard IV (B) - Additional Compensation Arrangem...
Standard IV (C) - Responsibilities of Supervisors
Standard V (A) - Diligence and Reasonable Basis
Standard V (B) - Communication with Clients and Pr...
Standard V (C) - Record Retention
Standard VI (A) - Disclosure of Conflicts
Standard VI (B) - Priority of Transactions
Standard VI (C) - Referral Fees
Guidance for Standard VII – Responsibilities of a ...
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