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.
Guidance for Standards I - VII
This course is a part of CFA Level I study material.
22 chapters · 1 files
Chapters
- 1Seven Standards of Professional ConductRead free
- 2Standard I (A) Professionalism - Knowledge of the LawRead free
- 3Standard I (B) Professionalism - Independence and ObjectivityRead free
- 4Standard I (C) Professionalism - MisrepresentationRead free
- 5Standard I (D) Professionalism - MisconductRead free
- 6Standard II (A) - Material Non-public InformationRead free
- 7Standard II (B) - Market ManipulationRead free
- 8Standard III (A) - Loyalty, Prudence, and CareRead free
- 9Standard III (B) - Fair DealingRead free
- 10Standard III (C) - SuitabilityRead free
- 11Standard III (D) - Performance PresentationRead free
- 12Standard III (E) - Preservation of ConfidentialityRead free
- 13Standard IV (A) - LoyaltyRead free
- 14Standard IV (B) - Additional Compensation ArrangementsRead free
- 15Standard IV (C) - Responsibilities of SupervisorsRead free
- 16Standard V (A) - Diligence and Reasonable BasisRead free
- 17Standard V (B) - Communication with Clients and Prospective ClientsRead free
- 18Standard V (C) - Record RetentionRead free
- 19Standard VI (A) - Disclosure of ConflictsRead free
- 20Standard VI (B) - Priority of TransactionsRead free
- 21Standard VI (C) - Referral FeesRead free
- 22Guidance for Standard VII – Responsibilities of a CFA Institute Member or CFA CandidateRead free
Files
Guidance for Standards I – VII
PDF