- 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 VII – Responsibilities of a CFA Institute Member or CFA Candidate
This standard has two parts:
A. Conduct as Members and Candidates in the CFA Program
This standard states that the members must not engage in activity that affects the reputation or the integrity of the CFA Institute, designation, or exam.
B. Reference to CFA Institute, the CFA Designation, and the CFA Program
This standard states that while referring to CFA Institute, membership, designation, or candidacy, the members and candidates should not exaggerate or misrepresent the meaning or implication of the membership, designation, or candidacy in the CFA program.
The next reading Guidance for Standards I – VII addresses the practical application of the Code of Ethics and Standards of Professional Conduct. We will provide various examples demonstrating the application of these standards and situations that demonstrate the violation of Code and Standards.
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