- CFA Institute Professional Conduct Program
- Six Components of the Code of Ethics
- Seven Standards of Professional Conduct
- Standard I - Professionalism (Standards of Professional Conduct)
- Standard II – Integrity of Capital Markets
- Standard III – Duties of Clients
- Standard IV – Duties to Employers
- Standard V – Investment Analysis, Recommendations, and Actions
- Standard VI – Conflicts of Interest
- Standard VII – Responsibilities of a CFA Institute Member or CFA Candidate
Standard IV – Duties to Employers
This standard has three parts:
A. Loyalty
This standard states that the members must always act in favor of their employer, and works towards benefiting their employers. They should not indulge in activity that could harm their employer.
B. Additional Compensation Arrangements
This standard states that the members must not accept any gift, benefits or compensation in any form that creates a conflict of interest with their own employers, unless they obtain written consent from all parties involved.
C. Responsibilities of Supervisors
This standard states that if the members have any supervisory responsibilities, they should fulfill them and make reasonable effort to prevent any violation of laws, rules and standards by anyone under their supervision.
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