Ethics Level 1 Cfa PDF

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

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

II-A: Material Nonpublic Information

II-B: Market Manipulation Standard II: Integrity of  Capital Markets

III-A: Loyalty, Prudence, and Care

III-B: Fair  Dealing

III-D: Performance Presentation

III-C: Suitability

III-E: Preservation of  Confidentiality

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