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Ethics level 1 cfa

zian

Parent chart
Code and Standards

I. Profess ionalis m

II. Integrity of Capital Markets

III. Duties to Clients and Prospecti ve Clients

IV. Duties to Employe rs

V. Investme nt Analysis, Recomm endation s, and Action

VI. Conflicts of Interest

VII. Responsi bilities as a CFA Institute Member or CFA Candidat e

Standard I: Professionalism
I-A: Knowledge of the Law I-B: Independen ce and Objectivity I-C: Misrepresent ation I-D: Misconduct

Standard II: Integrity of Capital Markets


II-A: Material Nonpublic Information
Standard II:
Integrity of Capital Markets

II-B: Market Manipulation

Standard III: Duties to Clients


III-A: Loyalty, Prudence, and Care III-B: Fair Dealing

III-C: Suitability

III-D: Performance Presentation

III-E: Preservation of Confidentiality

Standard Iv: Duties to employres


LOYALTY ADDITIONAL COMPENSATION ARRANGEMEMNTS RESPONSIBILTIES OF SUPERVISIORS

Standard V: INVESTMENT ANALYSIS,RECOMMENDAIONS AND ACTIONS

DILIGENCE AND REASONABLE BASIS

COMMUNICATION WITH CLIENTS AND PROSPECTIVE CLIENTS

Standard VI:CONFLICTS OF INTEREST

DISCLOSURE OF CONFLICTS

REFERRAL FEES

PRIORITY OF TRANSACTIONS

Standard VII:RESPONSIBILITIES AS A CFA INSTITUTE MEMBER OR CFA CANDIADATE