CFA Standards Code of Ethics

Standard II - Integrity of Capital Markets
1. II (A)
  1. Material Nonpublic Information
    1. Members and Candidates who possess material nonpublic information that could affect the value of an investment must not act or cause others to act on the information
      Anotações:
      - http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-nonpublic-information.asp
2. II (B)
  1. Market Manipulation
    1. Members and Candidates must not engage in practices that distort prices or artificially inflate trading volume with the intent to mislead market participants
      Anotações:
      - http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-market-manipulation.asp
      1. Information-Based Manipulation
      2. Transaction-Based Manipulation
Standard I - Professionalism
1. I (A)
  1. Knowledge of the Law
    1. Members and Candidates must understand and comply with all applicable laws, rules, and regulations (including the CFA Institute Code of Ethics and Standards of Professional Conduct) of any government, regulatory organization, licensing agency, or professional association governing their professional activities. In the event of conflict, Members and Candidates must comply with the more strict law, rule, or regulation. Members and Candidates must not knowingly participate or assist in and must dissociate from any violation of such laws, rules, or regulations.
      Anotações:
      - http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-knowledge-of-law.asp
2. I (B)
  1. Independence and Objectivity
    1. Members and Candidates must use reasonable care and judgment to achieve and maintain independence and objectivity in their professional activities. Members and Candidates must not offer, solicit, or accept any gift, benefit, compensation, or consideration that reasonably could be expected to compromise their own or another's independence and objectivity.
      Anotações:
      - http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-independence-objectivity.asp
3. I (C)
  1. Misrepresentation
    1. Members and Candidates must not knowingly make any misrepresentations relating to investment analysis, recommendations, actions, or other professional activities.
      Anotações:
      - http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-misrepresentation.asp
4. I (D)
  1. Misconduct
    1. Members and Candidates must not engage in any professional conduct involving dishonesty, fraud, or deceit or commit any act that reflects adversely on their professional reputation, integrity, or competence
      Anotações:
      - http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-misconduct.asp
Standard III - Duties to Clients
1. III (A)
  1. Loyalty, Prudence, and Care
    Anotações:
    - http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-loyalty-prudence-care.asp
2. III (B)
  1. Fair Dealing
    Anotações:
    - http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-fair-dealing.asp
3. III (C)
  1. Suitability
    Anotações:
    - http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-suitability.asp
4. III (D)
  1. Performance Presentation
    Anotações:
    - http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-performance-presentation.asp
5. III (E)
  1. Preservation Of Confidentiality
    Anotações:
    - http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-preservation-confidentiality.asp
Standard IV - Duties to Employers
1. IV (A)
  1. Loyalty
    Anotações:
    - http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-loyalty.asp
2. IV (B)
  1. Additional Compensation Arrangements
    Anotações:
    - http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-compensation-arrangements.asp
3. IV (C)
  1. Responsibilities Of Supervisors
    Anotações:
    - http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-responsibilities-supervisors.asp
Standard V - Investment Analysis, Recommendations, and Actions
1. V (A)
  1. Diligence and Reasonable Basis
    Anotações:
    - http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-diligence-reasonable-basis.asp
2. V (B)
  1. Communication with Clients and Prospective Clients
    Anotações:
    - http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-communication-clients.asp
3. V (C)
  1. Record Retention
    Anotações:
    - http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-record-retention.asp
Standard VI - Conflicts of Interest
1. VI (A)
  1. Disclosure of Conflicts
    Anotações:
    - http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-disclosure-conflicts.asp
2. VI (B)
  1. Priority of Transactions
    Anotações:
    - http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-priority-transaction.asp
3. VI (C)
  1. Referral Fees
    Anotações:
    - http://www.investopedia.com/exam-guide/cfa-level-1/ethics-standards/standard-referral-fees.asp

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