2021 CFA Level I Exam: Study Session 1. Ethical and Professional Standards

CFA Exams
2021 Level I
Study Session 1. Ethical and Professional Standards
Reading 3. Guidance for Standards I-VII

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Learning Outcome Statements PDF Download

	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.

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