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…

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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…

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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…

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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…

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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…

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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…

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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…

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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 Manipulation to promote the integrity of…

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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 trade on material nonpublic information impairs market…

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Standard I (D) – Misconduct

Members and Candidates must not engage in any professional conduct involving dishonesty fraud, or deceit, or commit any act that reflects adversely on their professional reputation, integrity, or competence. Guidance Standard I(D) – Misconduct addresses all conduct that reflects poorly…

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