Standard I(C) – Misrepresentation
Standard I(C) – Misrepresentation indicates that CFA members must not knowingly misrepresent information related to investment analysis, recommendations, or professional actions.
Standard I(E) – Competence
Members and Candidates must act with and maintain the knowledge and skills necessary to fulfill their professional responsibilities. Compliance Standard I(E) – competence requires members and candidates to apply and maintain the knowledge, skills, and diligence necessary to deliver a…
Standard II(A) – Material Non-Public Information
II. Integrity of Capital Markets Standard II discusses sharing of material information qualified as non-public, as well as the intent to manipulate markets. It prohibits CFA members from acting in a way to distort market value through manipulation. Standard…
Standard II(B) – Market Manipulation
Standard II(B) – Market Manipulation dictates that members refrain from any activity that will fraudulently manipulate volumes of trading and/or causes a distortion of securities pricing. Compliance Two key attributes of market manipulation are information-based and transaction-based. Information-based manipulation involves…
Standard III(A) – Loyalty, Prudence, and Care
[vsw id=”coTBbAxXxTA” source=”youtube” width=”611″ height=”344″ autoplay=”no”] III. Duties to Clients and Prospective Clients Standard III addresses client loyalty, discretion, and care; fair dealing; suitability; performance presentation; and maintaining confidentiality. Investment professionals are obligated to put the interests of their clients…
Standard III(B) – Fair Dealing
Standard III(B) – Fair Dealing indicates that CFA members must take advice and/or take action with all clients in a reasonable and objective manner. Compliance Standard III(B) – Fair Dealing urges members to treat all parties fairly to uphold the…
Standard III(C) – Suitability
[vsw id=”coTBbAxXxTA” source=”youtube” width=”611″ height=”344″ autoplay=”no”] Standard III(C) – Suitability refers to providing recommendations and transactions that align with a client’s willingness and ability. Compliance The essence of Standard III(C) – Suitability lies in the notion that a client’s objectives…
Standard III(D) – Performance Presentation
[vsw id=”coTBbAxXxTA” source=”youtube” width=”611″ height=”344″ autoplay=”no”] Standard III(D) – Performance Presentation obliges CFA members to make sure communication about investment performance is fair, accurate, and complete. Compliance Similar to Standard I(C) – Misrepresentation, Standard III(D) – Performance Presentation insists that…
Standard IV(A) – Loyalty
[vsw id=”0jsh54Uf78I” source=”youtube” width=”611″ height=”344″ autoplay=”no”] IV. Duties to Employers Standard IV outlines basic responsibilities by investment professionals for their employers. Standard IV(A) – Loyalty Standard IV(A) – Loyalty requires CFA members from behaving in a way that would negatively…
Standard IV(B) – Additional Compensation Arrangements
Standard IV(B) – Additional Compensation Arrangements obliges members not to accept gifts, additional compensation, or consideration that competes with the interests of an employer. Learn ethics compliance with our free trial. Compliance Standard IV(B) – Additional Compensation Arrangements requires members…
