CFA Institute Code and Standards plus core quantitative methods concepts tested on CFA Level 1.
45 cards · basic cards · AI-written, checked twice. Edit anything.
- Which CFA Standard requires understanding and complying with applicable laws, rules, and the Code and Standards?
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Standard I(A): Knowledge of the Law- Which CFA Standard requires using reasonable care to avoid conflicts that compromise independent judgment?
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Standard I(B): Independence and Objectivity- Which CFA Standard prohibits false or misleading statements about investments or services?
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Standard I(C): Misrepresentation- Which CFA Standard prohibits conduct involving dishonesty, fraud, or deceit that reflects poorly on professional reputation?
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Standard I(D): Misconduct- Which CFA Standard prohibits acting or causing others to act on material nonpublic information?
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Standard II(A): Material Nonpublic Information- Which CFA Standard prohibits practices that distort prices or artificially inflate trading volume?
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Standard II(B): Market Manipulation- Which CFA Standard requires acting for the benefit of clients and placing client interests before employer or personal interests?
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Standard III(A): Loyalty, Prudence, and Care- Which CFA Standard requires treating all clients fairly when disseminating investment recommendations or taking investment action?
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Standard III(B): Fair Dealing- Which CFA Standard requires ensuring investment recommendations match a client's objectives and circumstances?
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Standard III(C): Suitability- Which CFA Standard requires performance information presented to clients to be fair, accurate, and complete?
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Standard III(D): Performance Presentation- Which CFA Standard requires keeping current and former client information confidential unless disclosure is required by law?
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Standard III(E): Preservation of Confidentiality- Which CFA Standard requires acting for the benefit of one's employer and not depriving it of one's skills?
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Standard IV(A): Loyalty- Which CFA Standard requires written consent from all parties before accepting compensation that competes with an employer's interest?
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Standard IV(B): Additional Compensation Arrangements- Which CFA Standard requires supervisors to make reasonable efforts to detect and prevent violations of laws and the Code and Standards?
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Standard IV(C): Responsibilities of Supervisors- Which CFA Standard requires having a reasonable and adequate basis for investment analysis and recommendations?
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Standard V(A): Diligence and Reasonable Basis
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