Standard VI – Conflicts of Interest
Standard VI(A) – Disclosure of Conflicts Standard VI(B) – Priority of transactions Standard VI(C) – Referral Fees
Standard V – Investment Analysis
Standard V(A) – Diligence and Reasonable Basis Standard V(B) – Communication with Clients and Prospective Clients Standard V(C) – Record Retention
Standard IV – Duties to Employers
Standard IV(A) – Loyalty Standard IV(B) – Additional Compensation Arrangements Standard IV(C) – Responsibilities of Supervisors
Standard III – Duties to Clients
Standard III(A) – Loyalty, Prudence, and Care Standard III(B) – Fair Dealing Standard III(C) – Suitability Standard III(D) – Performance Presentation Standard III(E) – Preservation of Confidentiality
Standard II – Integrity
Standard II (A) – Material Nonpublic Information Standard II (B) – Market Manipulation
Standard I – Professionalism
Standard I(A) – Knowledge of the Law Standard I(B) – Independence and Objectivity Standard I(C) – Misrepresentation Standard I(D) – Misconduct
Asset Class Allocation
Three Super Classes An asset class is a group of assets that all share some common elements. Asset classes help organize investment portfolios into separate components. We can start with the broadest sense of the word and divide assets into…
Approaches to Asset Allocation
Portfolio managers rely on one of three frameworks for analyzing and managing their portfolios. The three approaches below have advantages and disadvantages, which the analysts and managers must know to make prudent investment decisions. Asset-only Approach This approach considers only…
Application of the Code and Standards
The curriculum’s next section covers Standards I-VII with guidance provided in Reading 30 and Reading 31. The CFAI Curriculum offers numerous case examples and advice on applying the Code and Standards. Candidates receive a downloadable e-book as part of their…
Guidance for Standards I–VII
The curriculum’s next section covers Standards I-VII with guidance provided in Reading 30 and Reading 31. The CFAI Curriculum offers numerous case examples and advice on applying the Code and Standards. Candidates receive a downloadable e-book as part of their…
