Standard VI (A) – Disclosure of Conflicts Members and candidates must avoid or fully disclose all matters that could reasonably be expected to impair their independence and objectivity or interfere with respective duties to their clients, prospective clients, and employer. Members and…

Standard V (C) – Record Retention Members and Candidates must develop and maintain appropriate records to support their investment analyses, recommendations, actions, and other investment-related communications with clients and prospective clients. Members and Candidates must retain records that support their…

Standard V (B) – Communication with Clients and Prospective Clients Under Standard V(B), members and candidates are required to communicate comprehensively and clearly with clients and prospective clients about various aspects of their services. These disclosures include the nature and…

Standard V (A) – Diligence and Reasonable Basis Members and Candidates must: Exercise diligence, independence, and thoroughness in analyzing investments, making investment recommendations, and taking investment actions. Have a reasonable and adequate basis, supported by appropriate research and investigation, for…

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…

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 –…