Study Notes for CFA® Level II – Ethical and Professional Standards – offered by AnalystPrep

18 Feb 2021

Reading 45: Code of Ethics and Standards of Professional Conduct

-a. Describe the six components of the Code of Ethics and the seven Standards of Professional Conduct;

-b. Explain the ethical responsibilities required of CFA Institute members and candidates in the CFA Program by the Code and Standards;

Reading 46: Guidance & Application for The Standards of Professional Conduct (I-VII)

Standard I – Professionalism

Standard II – Integrity of Capital Markets

Standard III – Duties to Clients

Standard IV – Duties to Employers

Standard V – Investment Analysis, Recommendations and Actions

Standard VI – Conflicts of Interests

Standard VII – Responsibilities of a CFA Institute Member or CFA Candidate

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