Ethics level 1 cfa

zian

Parent chart

Code and Standards

I. Professionalis

m

II. Integrity

of Capital

Markets

III. Duties to

Clients and

Prospective

Clients

IV. Duties to

Employers

V. Investme

nt Analysis, Recommendation

s, and Action

VI. Conflicts

of Interest

VII. Responsibilities as

a CFA Institute Member

or CFA Candidat

e

Standard I: Professionalism

I-A: Knowledge of the Law

I-B: Independen

ce and Objectivity

I-C: Misrepresent

ation

I-D: Misconduct

Standard II: Integrity of Capital Markets

Standard II: Integrity of

Capital Markets

II-A: Material Nonpublic

Information

II-B: Market Manipulation

Standard III: Duties to Clients

III-A: Loyalty, Prudence, and

Care

III-B: Fair Dealing III-C: Suitability

III-D: Performance Presentation

III-E: Preservation of Confidentiality

Standard Iv: Duties to employres

LOYALTY

ADDITIONAL COMPENSATION

ARRANGEMEMNTS

RESPONSIBILTIES OF SUPERVISIORS

Standard V: INVESTMENT ANALYSIS,RECOMMENDAIONS AND

ACTIONS

DILIGENCE AND REASONABLE BASIS

COMMUNICATION WITH CLIENTS AND

PROSPECTIVE CLIENTS

Standard VI:CONFLICTS OF INTEREST

REFERRAL FEES

PRIORITY OF TRANSACTIONS

DISCLOSURE OF

CONFLICTS

Standard VII:RESPONSIBILITIES AS A CFA INSTITUTE MEMBER OR CFA

CANDIADATE