Home

I'm looking for:

We're using cookies, but you can turn them off in your browser settings. Otherwise, you are agreeing to our use of cookies. Learn more in our Privacy Policy

Guidance for the Code of Ethics and Standards of Professional Conduct

Guidance for the Codes and Standards

    Standard I: Professionalism

    Standard I(A) Knowledge of the Law (Last updated April 2024)

    Standard I(B) Independence and Objectivity (Last updated April 2024)

    Standard I(C) Misrepresentation (Last updated April 2024)

    Standard I(D) Misconduct (Last updated April 2024)

    Standard I(E) Competence (Last updated January 2024)

      Standard II: Integrity of Capital Markets

      Standard II(A) Material Nonpublic Information (Last updated April 2024)

      Standard II(B) Market Manipulation (Last updated April 2024)

        Standard III: Duties to Clients

        Standard III(A) Loyalty, Prudence, and Care (Last updated April 2024)

        Standard III(B) Fair Dealing (Last updated April 2024)

        Standard III(C) Suitability (Last updated April 2024)

        Standard III(D) Performance Presentation (Last updated April 2024)

        Standard III(E) Preservation of Confidentiality (Updated April 2024)

          Standard IV: Duties to Employers

          Standard IV(A) Loyalty (Last updated April 2024)

          Standard IV(B) Additional Compensation Arrangements (Last updated April 2024)

          Standard IV(C) Responsibilities of Supervisors (Last updated April 2024)

            Standard V: Investment Analysis, Recommendations, and Actions

            Standard V(A) Diligence and Reasonable Basis (Last updated April 2024)

            Standard V(B) Communication with Clients and Prospective Clients (Last updated January 2024)

            Standard V(C) Record Retention (Last updated April 2024)

              Standard VI: Conflicts of Interest

              Standard VI(A) Disclosure of Conflicts (Last updated January 2024)

              Standard VI(B) Priority of Transactions (Last updated April 2024)

              Standard VI(C) Referral Fees (Last updated April 2024)

                Standard VII: Responsibilities as a CFA Institute Member or CFA Candidate

                Standard VII(A) Conduct as Participants in CFA Institute Programs (Updated April 2024)

                Standard VII(B) Reference to CFA Institute, the CFA Designation, and the CFA Program (Updated April 2024)