{"id":52066,"date":"2024-03-14T05:20:27","date_gmt":"2024-03-14T05:20:27","guid":{"rendered":"https:\/\/analystprep.com\/cfa-level-1-exam\/?p=52066"},"modified":"2025-09-08T10:48:36","modified_gmt":"2025-09-08T10:48:36","slug":"guidance-for-standards-i-vii","status":"publish","type":"post","link":"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/guidance-for-standards-i-vii\/","title":{"rendered":"Guidance for Standards I-VII"},"content":{"rendered":"<p>I. 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\/\" target=\"_blank\" rel=\"noopener\">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\/\" target=\"_blank\" rel=\"noopener\">Independence and objectivity<\/a><\/li>\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-1c-misrepresentation\/\" target=\"_blank\" rel=\"noopener\">Misrepresentation<\/a><\/li>\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-1d-misconduct\/\" target=\"_blank\" rel=\"noopener\">Misconduct<\/a><\/li>\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-1e-competence\/\" target=\"_blank\" rel=\"noopener\">Competence<\/a><\/li>\n<\/ul>\n<p>II. 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\/\" target=\"_blank\" rel=\"noopener\">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\/\" target=\"_blank\" rel=\"noopener\">Market manipulation<\/a><\/li>\n<\/ul>\n<p>III.\u00a0Duties 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\/\" target=\"_blank\" rel=\"noopener\">Loyalty and prudence<\/a><\/li>\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-3b-fair-dealing\/\" target=\"_blank\" rel=\"noopener\">Fair dealing<\/a><\/li>\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-3c-suitability\/\" target=\"_blank\" rel=\"noopener\">Suitability<\/a><\/li>\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-3d-performance-presentation\/\" target=\"_blank\" rel=\"noopener\">Performance presentation<\/a><\/li>\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-3e-preservation-confidentiality\/\" target=\"_blank\" rel=\"noopener\">Preservation of confidentiality<\/a><\/li>\n<\/ul>\n<p>IV.\u00a0Duties 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\/\" target=\"_blank\" rel=\"noopener\">Loyalty<\/a><\/li>\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-4b-additional-compensation-arrangements\/\" target=\"_blank\" rel=\"noopener\">Additional compensation arrangements<\/a><\/li>\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-4c-responsibilities-supervisors\/\" target=\"_blank\" rel=\"noopener\">Responsibilities of supervisors<\/a><\/li>\n<\/ul>\n<p>V.\u00a0Investment 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\/\" target=\"_blank\" rel=\"noopener\">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\/\" target=\"_blank\" rel=\"noopener\">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\/\" target=\"_blank\" rel=\"noopener\">Records retention<\/a><\/li>\n<\/ul>\n<p>VI.\u00a0Conflicts 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\/\" target=\"_blank\" rel=\"noopener\">Disclosure of conflicts<\/a><\/li>\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-6b-priority-transactions\/\" target=\"_blank\" rel=\"noopener\">Priority of transactions<\/a><\/li>\n<li><a href=\"https:\/\/analystprep.com\/cfa-level-1-exam\/ethical-and-professional-standards\/standard-6c-referral-fees\/\" target=\"_blank\" rel=\"noopener\">Referral fees<\/a><\/li>\n<\/ul>\n<p>VII.\u00a0Responsibilities 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\/\" target=\"_blank\" rel=\"noopener\">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\/\" target=\"_blank\" rel=\"noopener\">Reference to CFA Institute, CFA designation, and CFA program<\/a><\/li>\n<\/ul>\n","protected":false},"excerpt":{"rendered":"<p>I. Professionalism Knowledge of the law Independence and objectivity Misrepresentation Misconduct Competence II. Integrity of Capital Markets Material non-public information Market manipulation III.\u00a0Duties to Clients and Prospective Clients Loyalty and prudence Fair dealing Suitability Performance presentation Preservation of confidentiality IV.\u00a0Duties&#8230;<\/p>\n","protected":false},"author":7,"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-52066","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>CFA Ethics: Standards I\u2013VII Guidance | AnalystPrep<\/title>\n<meta name=\"description\" content=\"Review ethical guidelines for CFA Standards I\u2013VII. 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