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| CFA Exam Part I Code of Conduct Free Study Mind Map |
Standards of Professional Conduct
Follow the links below to drill down on these seven professional conduct items. Related free study mind maps are prepared for each:
I. Professionalism
II. Integrity of Capital Markets
- Material nonpublic information
- Market manipulation
III. Duties to Clients
- Loyalty, prudence, due care
- Fair dealing
- Suitability
- Performance presentation
- Preservation of confidentiality
IV. Duties to Employers
- Loyalty
- Additional compensation agreements
- Responsibilities of supervisors
V. Investment Analysis, Recommendations and Actions
- Diligence and reasonable basis
- Communication with clients and prospective clients
- Record retention
VI. Conflicts of Interest
- Disclosure of conflicts
- Priority of tranactions
- Referral fees
VII. Responsibilities as a CFA Institute Member or CFA Candidate
- Conduct as participants
- Market manipulation
Return to CFA Exam Part I Subjects Free Mind Map
Keywords: Code of Professional Conduct, ethics, exam study guide, CFA candidates, CFA Exam, investing investment professionals, education mind mapping, Part I, review, free study mind maps
Other references: IFT via Youtube
Other references: IFT via Youtube