Learning Module 3 of Ethical and Professional Standards 15–20% of the exam

Guidance for Standards I–VII

23 lessons. About 0 minutes in cram mode, 0 minutes in full.

Lessons for this module are being written. The outcomes and lesson plan below are final.

Lessons

1
Standard I(A): Knowledge of the Law
Coming soon
2
Standard I(B): Independence and Objectivity
Coming soon
3
Standard I(C): Misrepresentation
Coming soon
4
Standard I(D): Misconduct
Coming soon
5
Standard I(E): Competence
Coming soon
6
Standard II(A): Material Nonpublic Information
Coming soon
7
Standard II(B): Market Manipulation
Coming soon
8
Standard III(A): Loyalty, Prudence, and Care
Coming soon
9
Standard III(B): Fair Dealing
Coming soon
10
Standard III(C): Suitability
Coming soon
11
Standard III(D): Performance Presentation
Coming soon
12
Standard III(E): Preservation of Confidentiality
Coming soon
13
Standard IV(A): Loyalty
Coming soon
14
Standard IV(B): Additional Compensation Arrangements
Coming soon
15
Standard IV(C): Responsibilities of Supervisors
Coming soon
16
Standard V(A): Diligence and Reasonable Basis
Coming soon
17
Standard V(B): Communication with Clients and Prospective Clients
Coming soon
18
Standard V(C): Record Retention
Coming soon
19
Standard VI(A): Avoid or Disclose Conflicts
Coming soon
20
Standard VI(B): Priority of Transactions
Coming soon
21
Standard VI(C): Referral Fees
Coming soon
22
Standard VII(A): Conduct as Participants in CFA Institute Programs
Coming soon
23
Standard VII(B): Reference to CFA Institute, the CFA Designation, and the CFA Program
Coming soon

Demonstrate the application of the Code of Ethics and Standards of Professional Conduct to situations involving issues of professional integrity.
Recommend practices and procedures designed to prevent violations of the Code of Ethics and Standards of Professional Conduct.
Identify conduct that conforms to the Code and Standards and conduct that violates the Code and Standards.