Standard 1(D) – Misconduct
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
- (A) Loyalty and prudence
- (B) Fair dealing
- (C) Suitability
- (D) Performance presentation
- (E) Preservation of confidentiality
Standard IV – Duties to Employers
Standard V – Investment Analysis, Recommendations, and Action
- (A) Diligence and Reasonable basis
- (B) Communication with clients and prospective clients
- (C) Records retention
Standard VI – Conflicts of Interest
Standard VII – Responsibilities as a CFA Institute Member or CFA Candidate
Sergio Torrico
2021-07-23
Excelente para el FRM 2
Escribo esta revisión en español para los hispanohablantes, soy de Bolivia, y utilicé
AnalystPrep para dudas y consultas sobre mi preparación para el FRM nivel 2 (lo tomé una sola vez y aprobé muy bien), siempre tuve un soporte claro, directo y rápido, el material sale rápido cuando hay cambios en el temario de GARP, y los ejercicios y exámenes son muy útiles para practicar.
diana
2021-07-17
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2021-07-16
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2021-06-28
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2021-06-22
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2021-05-10
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2021-03-24
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2021-03-18
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