CFA Level I Exam - Ethics and Professional Standards

This document, the CFA Institute Standards of Practice Handbook (12th Edition), provides a comprehensive guide to the CFA Institute's Code of Ethics and Standards of Professional…

Chapters

missionlikeisis turningtheworldintocrisis

·9mo ago·

Free account required · 2 free imports included

Course Chapters

7 chapters · 120 exercises

Knowledge of the Law - Understanding and Complying with Legal and Regulatory Requirements5 exercises

Independence and Objectivity - Maintaining Impartiality and Avoiding Conflicts of Interest7 exercises

Misrepresentation - Avoiding False or Misleading Statements7 exercises

Misconduct - Avoiding Dishonesty, Fraud, and Deceit5 exercises

Competence - Maintaining and Improving Professional Skills5 exercises

Ready to ace your exam?

Import this study set and start learning with AI-powered flashcards, adaptive practice tests, and smart study plans.

CFA Level I Exam - Ethics and Professional Standards

Course Chapters

Standard I: Professionalism - Upholding Ethical Conduct and Knowledge of the Law

Standard II: Integrity of Capital Markets - Protecting Market Fairness and Preventing Manipulation

Standard III: Duties to Clients - Prioritizing Client Interests and Maintaining Confidentiality

Standard IV: Duties to Employers - Balancing Employer Interests with Ethical Conduct

Standard V: Investment Analysis, Recommendations, and Actions - Diligence, Communication, and Record Retention

Standard VI: Conflicts of Interest - Avoiding or Disclosing Conflicts to Maintain Objectivity

Standard VII: Responsibilities as a CFA Institute Member or CFA Candidate - Upholding the Integrity of the CFA Designation

Ready to ace your exam?