CFA Level 1 Ethics

The Standard of Professional Conduct
- I. Professionalism
- II. Integrity of Capital Markets
- III. Duties to Clients
- IV. Duties to Employers
- V. Investment Analysis, Recommendations and Actions
- VI. Conflicts of Interest
- VII. Responsibilities as a CFA Inst. Mem. or CFA Cand.
I. Professionalism
- A. Knowledge of the Law
- B. Independence and Objectivity
- C. Misrepresentation
- D. Misconduct
II. Integrity of Capital Markets
- A. Material Nonpublic Information
- B. Market Manipulation
III. Duties to Clients
- A. Loyalty, Prudence and Care
- B. Fair Dealing
- C. Suitability
- D. Performance Presentation
- E. Preservation of Confidentiality

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Card Set

CFA Level 1 Ethics

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CFA Level 1 Ethics

Updated

2011-09-08T04:44:44Z

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