Standard IV (B) – Additional Compensation Arrangements Members and Candidates must not accept gifts, benefits, compensation, or consideration that competes with or might reasonably be expected to create a conflict of interest with their employer’s interest unless they obtain written…

Standard IV (A) – Loyalty In matters related to their employment, Members and Candidates must act for the benefit of their employer and not deprive their employer of the advantage of their skills and abilities, divulge confidential information, or otherwise…

Standard VII (B) – Reference to CFA Institute, the CFA Designation, and the CFA Program When referring to CFA Institute, CFA Institute membership, the CFA designation, or candidacy in the CFA Program, Members and Candidates must not misrepresent or exaggerate the meaning…

Standard VII (A) – Conduct as Participants in CFA Institute Programs Members and Candidates must not engage in any conduct that compromises the reputation or integrity of CFA Institute or the CFA designation or the integrity, validity, or security of…

Standard III(D) – Performance Presentation When communicating investment performance information, Members and Candidates must make reasonable efforts to ensure that it is fair, accurate, and complete.Guidance Members and Candidates must not misrepresent or mislead investors about their performance record –…

Standard III (C) – Suitability 1. When Members and Candidates are in an advisory relationship with a client, they must: Make a reasonable inquiry into a client’s or prospective client’s investment experience, risk and return objectives, and financial constraints prior to…

Standard III (B) – Fair Dealing Members and Candidates must deal fairly and objectively with all clients when providing investment analysis, making investment recommendations, taking investment action, or engaging in other professional activities. Members and Candidates are required to treat…

Standard III(A) – Loyalty, Prudence, and Care Members and Candidates have a duty of loyalty to their clients and must act with reasonable care and exercise prudent judgment. Members and Candidates must act for the benefit of their clients and…

Standard II (B) – Market Manipulation Members and Candidates must not engage in practices that distort prices or artificially inflate trading volume with the intent to mislead market participants.  Guidance Members are required to comply with Standard II(B) – Market…

Standard II (A) – Material Nonpublic Information Members and Candidates who possess material nonpublic information that could affect the value of an investment must not act or cause others to act on the information. Guidance Trading or causing others to…