Standard IV (C) – Responsibilities of Supervisors
Members and Candidates must make reasonable efforts to ensure that anyone subject to their supervision or authority complies with applicable laws, rules, regulations, and the Code and Standards. Members and Candidates with supervisory responsibilities must make reasonable efforts to prevent…
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 consent from all parties involved. Members and…
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 cause harm to their employer….
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 or implications of membership in CFA Institute, holding the CFA designation, or candidacy in the…
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 CFA Institute programs. Guidance Participants must not engage in any conduct…
Standard III (E) – Preservation of Confidentiality
Members and Candidates must keep information about current, former, and prospective clients confidential unless: The information concerns illegal activities on the part of the client or prospective client; Disclosure is required by law; or The client or prospective client permits…
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 – past or present. Members and…
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 making any investment recommendation or…
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 all clients fairly when sharing investment…
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 place their clients’ interests before their employer’s…
