Ethical and Professional Standards

Ethical and Professional Standards

Standards of Conduct

With regard to the CFA Level 1 Standards of Conduct, there are seven areas by which one must be held accountable.  Here, you will find a summary of the Standards with a relevant exam-style question at the end of each article. The purpose of this is to clarify how to comply with the Standards of Conduct and what would be considered a violation. To get started, simply click on any of the links below.

Standard I – Professionalism

Standard II – Integrity of Capital Markets

Standard III – Duties to Clients and Prospective Clients

Standard IV – Duties to Employers

Standard V – Investment Analysis, Recommendations, and Action

Standard VI – Conflicts of Interest

Standard VII – Responsibilities as a CFA Institute Member or CFA Candidate

For a free look at our question bank, click on this link.

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