Standards Of Professional Conduct

Question 0

Professionalism subsections

Answer 0

Knowledge of the law; independence and objectivity; misrepresentation; misconduct

Question 1

List all standards

Answer 1

Professionalism, integrity of capital markets, duties to clients, duties to employers, investment analysis recommendations and actions, conflict of interest, responsibilities as CFA institute member or candidate

Question 2

Integrity of capital markets subsections

Answer 2

Material nonpublic information; market manipulation

Question 3

Duties to clients subsections

Answer 3

Loyalty, prudence, care; fair dealing; suitability; performance presentation; preservation of confidentiality

Question 4

Duties to employers sub sections

Answer 4

Loyalty; additional compensation arrangements; responsibilities of supervisors

Question 5

Investment analysis, recommendations, and actions: subsections

Answer 5

Diligence and reasonable basis; communication with clients and prospective clients; record retention

Question 6

Conflicts of interest subsections

Answer 6

Disclosure of conflicts; priority of transactions; referral fees

Question 7

Responsibilities as a CFA Institute member or candidate

Answer 7

Conduct as members and candidates in the CFA program; reference to CFA Institute, CFA designation, CFA program