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CFA Exam: June 2020 Level II
Study Session 1. Ethical and Professional Standards
Reading 2. Guidance for Standards I-VII
Learning Outcome Statements
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1. Standard I (A) Knowledge of the Law
LOS 2.a.b.
2. Standard I (B) Independence and Objectivity
LOS 2.a.b.
3. Standard I (C) Misrepresentation
LOS 2.a.b.
4. Standard I (D) Misconduct
LOS 2.a.b.
5. Standard II (A) Material Nonpublic Information
LOS 2.a.b.
6. Standard II (B) Market Manipulation
LOS 2.a.b.
7. Standard III (A) Loyalty, Prudence, and Care
LOS 2.a.b.
8. Standard III (B) Fair Dealing
LOS 2.a.b.
9. Standard III (C) Suitability
LOS 2.a.b.
10. Standard III (D) Performance Presentation
LOS 2.a.b.
11. Standard III (E) Preservation of Confidentiality
LOS 2.a.b.
12. Standard IV (A) Loyalty
LOS 2.a.b.
13. Standard IV (B) Additional Compensation Arrangements
LOS 2.a.b.
14. Standard IV (C) Responsibilities of Supervisors
LOS 2.a.b.
15. Standard V (A) Diligence and Reasonable Basis
LOS 2.a.b.
16. Standard V (B) Communication with Clients and Prospective Clients
LOS 2.a.b.
17. Standard V (C) Record Retention
LOS 2.a.b.
18. Standard VI (A) Disclosure of Conflicts
LOS 2.a.b.
19. Standard VI (B) Priority of Transactions
LOS 2.a.b.
20. Standard VI (C) Referral Fees
LOS 2.a.b.
21. Standard VII (A) Conduct as Members and Candidates in the CFA Program
LOS 2.a.b.
22. Standard VII (B) Reference to CFA Institute, the CFA Designation, and the CFA Program
LOS 2.a.b.