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Guidance for Standards I - VII
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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

01

Seven Standards of Professional Conduct

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02

Standard I (A) Professionalism - Knowledge of the Law

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03

Standard I (B) Professionalism - Independence and Objectivity

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04

Standard I (C) Professionalism - Misrepresentation

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05

Standard I (D) Professionalism - Misconduct

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06

Standard II (A) - Material Non-public Information

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07

Standard II (B) - Market Manipulation

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08

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

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09

Standard III (B) - Fair Dealing

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10

Standard III (C) - Suitability

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11

Standard III (D) - Performance Presentation

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12

Standard III (E) - Preservation of Confidentiality

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13

Standard IV (A) - Loyalty

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14

Standard IV (B) - Additional Compensation Arrangements

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15

Standard IV (C) - Responsibilities of Supervisors

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16

Standard V (A) - Diligence and Reasonable Basis

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17

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

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18

Standard V (C) - Record Retention

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19

Standard VI (A) - Disclosure of Conflicts

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20

Standard VI (B) - Priority of Transactions

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21

Standard VI (C) - Referral Fees

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22

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

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Topics Covered
📊 Investment Management
Course Resources

Guidance for Standards I – VII

Study Notes for CFA Level I - Guidance for Standards I – VII

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