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Reading 3 - Code of Ethics - Guidance for Standards I-VII

Sub-readings

Standard I. PROFESSIONALISM A. Knowledge of the Law: 115.010.30.010 Reading 3 - Code of Ethics - Guidance - Professionalism - I(A) Knowledge of the Law B. Independence and Objectivity: 115.010.30.020 Reading 3 - Professionalism - I(B) Independence and Objectivity C. Misreprensentation: 115.010.30.030 Reading 3 - Professionalism - I(C) Misrepresentation D. Misconduct: 115.010.30.040 Reading 3 - Professionalism - I(D) Misconduct

Standard II. INTEGRITY OF CAPITAL MARKETS A. Material Nonpublic Information: 115.010.30.050 Reading 3 - Integrity of Capital Markets - II(A) Material Nonpublic Information B. Market Manipulation: 115.010.30.060 Reading 3 - Integrity of Capital Markets - II(B) Market Manipulation

Standard III. DUTIES TO CLIENTS A. Loyalty, Prudence, and Care: 115.010.30.070 Reading 3 - Duties to Clients - III(A) Loyalty Prudence and Care B. Fair Dealing: 115.010.30.080 Reading 3 - Duties to Clients - III(B) Fair Dealing C. Suitability: 115.010.30.090 Reading 3 - Duties to Clients - III(C) Suitability D. Performance Presentation: 115.010.30.100 Reading 3 - Duties to Clients - III(D) Performance Presentation E. Preservation of Confidentiality: 115.010.30.120 Reading 3 - Duties to Clients - III(E) Preservation of Confidentiality

Standard IV. DUTIES TO EMPLOYERS A. Loyalty: 115.010.30.130 Reading 3 - Duties to Employers - IV(A) Loyalty B. Additional Compensation Arrangements: 115.010.30.140 Reading 3 - Duties to Employers - IV(B) Additional Compensation Arrangements C. Responsibilities of Supervisors: 115.010.30.150 Reading 3 - Duties to Employers - IV(C) Responsibilities of Supervisors

Standard V. INVESTMENT ANALYSIS, RECOMMENDATIONS, AND ACTIONS A. Diligence and Reasonable Basis 115.010.30.160 Reading 3 - Investment Analysis - V(A) Diligence and Reasonable Basis B. Communication With Clients and Prospective Clients 115.010.30.170 Reading 3 - Investment Analysis - V(B) Communication With Clients and Prospective Clients C. Record Retention 115.010.30.180 Reading 3 - Investment Analysis - V(C) Record Retention

Standard VI. CONFLICTS OF INTEREST A. Disclosure of Conflicts: 115.010.30.190 Reading 3 - Conflicts of Interest - VI(A) Disclosure of Conflicts B. Priority of Transactions: 115.010.30.200 Reading 3 - Conflicts of Interest - VI(B) Priority of Transactions C. Referral Fees: 115.010.30.210 Reading 3 - Conflicts of Interest - VI(C) Referral Fees

Standard VII. RESPONSIBILITIES AS A CFA INSTITUTE MEMBER OR CFA CANDIDATE A. Conduct as Members and Candidates in the CFA Program: 115.010.30.220 Reading 3 - Responsibilities as CFA Member - VII(A) Conduct as Members in the CFA Program B. Reference to CFA Institute, the CFA Designation, and the CFA Program: 115.010.30.230 Reading 3 - Responsibilities as CFA Member - VII(B) Reference to CFA Institute

Source:

    CFA

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