The Leader in CFA® Review
  1. CFA Exam: Dec. 2019 Level I
  2. Study Session 1. Ethical and Professional Standards
  3. Reading 3. Guidance for Standards I-VII

Learning Outcome Statements

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