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Subject 4. JR and Associates PDF Download
The case discusses many standards.

Standard III (B) - Fair Dealing

Don't discriminate against any clients when disseminating investment recommendations or taking investment actions.

Standard VI (C) - Conflicts of Interests - Referral Fees

The disclosure of referral fees must be done, and must happen BEFORE the client enters into a formal agreement.

Standard III (E) - Preservation of Confidentiality

Don't share clients' information until it's explicitly approved by clients.

Standard I (B) - Independence and Objectivity

Perks like donations or excessive gifts might compromise professionals' independence and objectivity.

Standard IV (A) - Loyalty

(not violated) You may contact your former employer's clients after you leave the firm.

Standard VII (A) - Conduct as Members and Candidates in the CFA Program

Just don't talk about specific topics/questions on the real exam!

Standard VII (B) - Reference to CFA Institute, the CFA Designation, and the CFA Program

To be a CFA charterholder, you must pass all three levels and have the required four years' of work experience.

Learning Outcome Statements

evaluate practices, policies, and conduct relative to the CFA Institute Code of Ethics and Standards of Professional Conduct;

explain how the practices, policies, and conduct do or do not violate the CFA Institute Code of Ethics and Standards of Professional Conduct.

CFA® 2023 Level II Curriculum, Volume 6, Module 49

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