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Standard III (E) - Preservation of Confidentiality | Finance Train

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Guidance for Standards I - VII

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22 lessons0%

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

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Lesson 12 of 22

Standard III (E) - Preservation of Confidentiality

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Standard III (D) - Performance Presentation

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Standard IV (A) - Loyalty

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The members must maintain the confidentiality of all their client’s information (past, current, or prospective), unless there is some illegal activity, a requirement from the law, or the client itself permits disclosure.

Example of Violation

An investment manager knows that his client is planning to donate a large sum of money. She passes this information to the head of her favourite donation group asking them to follow up on this with her client.