Guidance for Standards I - VII

In this reading, we will study the seven standards of professional conduct in detail. The CFA members and candidates are expected to know and adhere by these standards of professional conduct.

Course Syllabus

Guidance for Standard VII – Responsibilities of a CFA Institute Member or CFA Candidate

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Topics Covered

Investment Management

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Guidance for Standards I - VII

Course Syllabus

Seven Standards of Professional Conduct

Standard I (A) Professionalism - Knowledge of the Law

Standard I (B) Professionalism - Independence and Objectivity

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 Arrangements

Standard IV (C) - Responsibilities of Supervisors

Standard V (A) - Diligence and Reasonable Basis

Standard V (B) - Communication with Clients and Prospective Clients

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 CFA Institute Member or CFA Candidate

What's Included:

Topics Covered