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CoursesGuidance for Standards I - VII
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Guidance for Standards I - VII

This course is a part of CFA Level I study material.

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.

Lessons

01

Seven Standards of Professional Conduct

Start
02

Standard I (A) Professionalism - Knowledge of the Law

Start
03

Standard I (B) Professionalism - Independence and Objectivity

Start
04

Standard I (C) Professionalism - Misrepresentation

Start
05

Standard I (D) Professionalism - Misconduct

Start
06

Standard II (A) - Material Non-public Information

Start
07

Standard II (B) - Market Manipulation

Start
08

Standard III (A) - Loyalty, Prudence, and Care

Start
09

Standard III (B) - Fair Dealing

Start
10

Standard III (C) - Suitability

Start
11

Standard III (D) - Performance Presentation

Start
12

Standard III (E) - Preservation of Confidentiality

Start
13

Standard IV (A) - Loyalty

Start
14

Standard IV (B) - Additional Compensation Arrangements

Start
15

Standard IV (C) - Responsibilities of Supervisors

Start
16

Standard V (A) - Diligence and Reasonable Basis

Start
17

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

Start
18

Standard V (C) - Record Retention

Start
19

Standard VI (A) - Disclosure of Conflicts

Start
20

Standard VI (B) - Priority of Transactions

Start
21

Standard VI (C) - Referral Fees

Start
22

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

Start
What's Included

Online Lessons

Chat with Lessons

Quizzes

Course Project

Downloadable Ebook

Resources

(1)
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