Standards of Professional Conduct

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1. ProfessionalismA. knowledge of the law
B. independence and objectivity
C. misrepresentation
D. misconduct

2. Integrity of Capital Markets
A. material nonpublic information
B. market manipulation

3. Duties to clients
A. loyalty, prudence and care
B. fair dealing
C. suitability
D. performance presentation
E. preservation of confidentiality

4. Duties to employers
A. loyalty
B. additional compensation arrangements
C. responsibilities of supervisors

5. Investment analysis, recommendations, and actions
A. diligence and reasonable basis

B. communication with clients and prospective clients
C. record retention

6. Conflicts of interest
A. disclosure of conflicts
B. priority of transactions
C. referral fees

7. Responsibilities as a CFA Institute Member or CFA Candidate
A. conduct as members and candidates in the CFA program
B. reference to CFA institute, the CFA Designation, and the CFA program

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关键词：Professional Profession standards Standard conduct Professional standards conduct