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Code of ethics and standards of professional conduct

Ethical and professional standards · Lesson 2 of 4

Lesson 2 of 4

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Lesson 2 of 4 · Ethical and professional standards

Code of ethics and standards of professional conduct

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Describe the structure and purpose of the CFA Institute Code of Ethics and Standards of Professional Conduct.
Explain and apply the requirements of the Code of Ethics in professional situations.
Explain and apply Standard I: Professionalism, including knowledge of the law, independence and objectivity, misrepresentation, and misconduct.

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Explain and apply Standard III: Duties to Clients, including loyalty, prudence and care, fair dealing, suitability, performance presentation, and preservation of confidentiality.

Explain and apply Standard IV: Duties to Employers, Standard V: Investment Analysis, Recommendations, and Actions, Standard VI: Conflicts of Interest, and Standard VII: Responsibilities as a CFA Institute Member or CFA Candidate.

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