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CFA Level 1 > Ethics Helper: Memorizing the Standards > Flashcards

Ethics Helper: Memorizing the Standards Flashcards

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CFA flashcards
1
Q

What is standard 1A?

A

Professionalism - Knowledge of the Law

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2
Q

What is standard 1B?

A

Professionalism - Independence & Objectivity of Guidance

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3
Q

What is standard 1C?

A

Professionalism - Misrepresentation

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4
Q

What is standard 1D?

A

Professionalism - Misconduct

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5
Q

What is standard 2A?

A

Integrity of Capital Markets - Material Nonpublic Information

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6
Q

What is standard 2B?

A

Integrity of Capital Markets - Market Manipulation

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7
Q

What is standard 3A?

A

Duties to Clients - Loyalty, Prudence, Care

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8
Q

What is standard 3B?

A

Duties to Clients - Fair Dealing

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9
Q

What is standard 3C?

A

Duties to Clients - Suitability

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10
Q

What is standard 3D?

A

Duties to Clients - Performance Presentation

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11
Q

What is standard 4A?

A

Duties to Employers - Loyalty

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12
Q

What is standard 4B?

A

Duties to Employers - Additional Compensation

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13
Q

What is standard 4C?

A

Duties to Employers - Responsibilities as Supervisors

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14
Q

What is standard 5A?

A

Investment Analysis, Recommendations, Actions - Diligence & Reasonable Basis

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15
Q

What is standard 5B?

A

Investment Analysis, Recommendations, Actions - Communication with Clients and Respective Clients

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16
Q

What is standard 5C?

A

Investment Analysis, Recommendations, Actions - Record Retention

17
Q

What is standard 6A?

A

Conflict of Interest - Disclosure of Conflicts

18
Q

What is standard 6B?

A

Conflict of Interest - Priority of Transactions

19
Q

What is standard 6C?

A

Conflict of Interest - Referral Fees

20
Q

What is standard 7A?

A

Responsibilities of a CFA Member/Candidate - Conduct as Participant in CFA Program

21
Q

What is standard 7B?

A

Responsibilities of a CFA Member/Candidate - Reference to the CFA Institute, Designation, or Program

CFA Level 1 (9 decks)

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