CFA® Exam Level I: Ethical and Professional Standards
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Abidance by the Code of Ethics and the Standards of Professional Conduct
Standard I(D): Misconduct Examples
Standard III(E): Preservation of Confidentiality
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Code of Ethics and Standards of Professional Conduct
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Abidance by the Code of Ethics and the Standards of Professional Conduct
Guidance for Standards I–VII & Ethics Application
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1 Quiz
Standard I(A): Knowledge of the Law
Standard I(B): Independence and Objectivity
Standard I(C): Misrepresentation
Standard I(D): Misconduct
Standard II(A): Material Nonpublic Information
Standard II(B): Market Manipulation
Standard III(A): Loyalty, Prudence, and Care
Standard III(B): Fair Dealing
Standard III(C): Suitability
Standard III(D): Performance Presentation
Standard III(E): Preservation of Confidentiality
Standard IV(A): Loyalty
Standard IV(B): Additional Compensation Arrangements
Standard IV(C): Responsibilities of Supervisors
Standard V(A): Diligence and Reasonable Basis
Standard V(B): Communication With Clients and Prospective Clients
Standard V(C): Record Retention
Standard VI(A): Disclosure of Conflicts
Standard VI(B): Priority of Transactions
Standard VI(C): Referral Fees
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Abidance by the Code of Ethics and the Standards of Professional Conduct
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CFA® Exam Level I: Ethical and Professional Standards
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Abidance by the Code of Ethics and the Standards of Professional Conduct
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