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L1 02 Guidance for Standards I-VII > Duties to Clients > Flashcards

Duties to Clients Flashcards

L1 02 Guidance for Standards I-VII (11 decks)

Professionalism

Integrity of Capital Markets

Duties to Clients

Duties to Employers

Investment Analysis, Recommendation, and Actions

Conflicts of Interest

Responsibilities as a CFA Institute Member or CFA Candidate

a demonstrate the application of the Code of Ethics and Standards of Professional Conduct to situations involving issues of professional integrity;

b distinguish between conduct that conforms to the Code and Standards and conduct that violates the Code and Standards;

c recommend practices and procedures designed to prevent violations of the Code of Ethics and Standards of Professional Conduct.

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