{"id":1304,"date":"2019-07-12T17:36:00","date_gmt":"2019-07-12T17:36:00","guid":{"rendered":"https:\/\/analystprep.com\/cfa-level-1-exam\/?p=1304"},"modified":"2019-07-12T17:36:00","modified_gmt":"2019-07-12T17:36:00","slug":"standards-of-conduct","status":"publish","type":"post","link":"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standards-of-conduct\/","title":{"rendered":"Ethical and Professional Standards"},"content":{"rendered":"<h2><strong>Standards of Conduct<\/strong><\/h2>\n<p>With regard to the <strong><em>CFA Level 1\u00a0<\/em><em>Standards of Conduct<\/em><\/strong>, there are seven areas by which one must be held accountable. \u00a0Here, 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\u00a0clarify how to comply with the Standards of Conduct and what would\u00a0be considered a violation. To get started, simply click on\u00a0any of the links below.<\/p>\n<p>Standard I\u00a0\u2013 Professionalism<\/p>\n<ul class=\"ul1\">\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-1a-knowledge-law\/\">(A) Knowledge of the law<\/a><\/li>\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-1b-independence-objectivity\/\">(B) Independence and objectivity<\/a><\/li>\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-1c-misrepresentation\/\">(C) Misrepresentation<\/a><\/li>\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-1d-misconduct\/\">(D) Misconduct<\/a><\/li>\n<\/ul>\n<p><!--more-->Standard II \u2013 Integrity of Capital Markets<\/p>\n<ul class=\"ul1\">\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-2a-material-non-public-information\/\">(A) Material non-public information<\/a><\/li>\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-2b-market-manipulation\/\">(B) Market manipulation<\/a><\/li>\n<\/ul>\n<p>Standard III \u2013 Duties to Clients and Prospective Clients<\/p>\n<ul class=\"ul1\">\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-3a-loyalty-prudence-care\/\">(A) Loyalty and prudence<\/a><\/li>\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-3b-fair-dealing\/\">(B) Fair dealing<\/a><\/li>\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-3c-suitability\/\">(C) Suitability<\/a><\/li>\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-3d-performance-presentation\/\">(D) Performance presentation<\/a><\/li>\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-3e-preservation-confidentiality\/\">(E) Preservation of confidentiality<\/a><\/li>\n<\/ul>\n<p>Standard IV \u2013 Duties to Employers<\/p>\n<ul class=\"ul1\">\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-4a-loyalty\/\">(A) Loyalty<\/a><\/li>\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-4b-additional-compensation-arrangements\/\">(B) Additional compensation arrangements<\/a><\/li>\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-4c-responsibilities-supervisors\/\">(C) Responsibilities of supervisors<\/a><\/li>\n<\/ul>\n<p>Standard V\u00a0\u2013 Investment Analysis, Recommendations, and Action<\/p>\n<ul class=\"ul1\">\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-5a-diligence-reasonable-basis\/\">(A) Diligence and Reasonable basis<\/a><\/li>\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-5b-communication-clients-prospective-clients\/\">(B) Communication with clients and prospective clients<\/a><\/li>\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-5c-record-retention\/\">(C) Records retention<\/a><\/li>\n<\/ul>\n<p>Standard VI \u2013 Conflicts of Interest<\/p>\n<ul class=\"ul1\">\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-6a-disclosure-conflicts\/\">(A) Disclosure of conflicts<\/a><\/li>\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-6b-priority-transactions\/\">(B) Priority of transactions<\/a><\/li>\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-6c-referral-fees\/\">(C) Referral fees<\/a><\/li>\n<\/ul>\n<p>Standard VII \u2013 Responsibilities as a CFA Institute Member or CFA Candidate<\/p>\n<ul class=\"ul1\">\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/responsibilities-cfa-institute-member-cfa-candidate\/\">(A) Conduct as participants in CFA Institute programs<\/a><\/li>\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-7b-reference-cfa-institute-cfa-designation-cfa-program\/\">(B) Reference to CFA Institute, CFA designation, and CFA program<\/a><\/li>\n<\/ul>\n<p><a href=\"https:\/\/analystprep.com\/\"><em>For a free look at our question bank, click on this link.<\/em><\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Standards of Conduct With regard to the CFA Level 1\u00a0Standards of Conduct, there are seven areas by which one must be held accountable. \u00a0Here, you will find a summary of the Standards with a relevant exam-style question at the end&#8230;<\/p>\n","protected":false},"author":18,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"footnotes":""},"categories":[3],"tags":[],"class_list":["post-1304","post","type-post","status-publish","format-standard","hentry","category-ethical-and-professional-standards","blog-post","no-post-thumbnail","animate"],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v26.9 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>Standards of Professional Conduct | CFA Level 1 - AnalystPrep<\/title>\n<meta name=\"description\" content=\"With regard to 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