What You Must Study – Ethical and Professional Standards

Certification: CFA Exam Level 1 Study Session 1 Ethics and Professional Standards

Here is a brief note on what you must study for the “Ethical and Professional Standards” section of CFA Level 1 exam.

  1. You must study all the Standards in Professional Standards. However, focus on Independence and Objectivity, Misrepresentation, Material Nonpublic Information, Preservation of Confidentiality, Loyalty, Suitability, Responsibilities of Supervisors, Disclosure of Conflicts, Priority of transactions, and Fair Dealing.
  2. You must be familiar with atleast two compliance procedures to deter violations
  3. You must study the required/mandatory GIPS standards thoroughly. You need not focus as much on recommended or suggested items. These standards involve a lot of memorization.
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