LEVEL II SCHWESER’S QuickSheet Critical Concepts for the 2017 CFA® ExamĮTHICAL AND PROFESSIONAL STANDARDS I Professionalism I (A) Knowledge of the Law I (B) Independence and Objectivity I (C) Misrepresentation I (D) Misconduct II Integrity of Capital Markets II (A) Material Nonpublic Information II (B) Market Manipulation III Duties to Clients III (A) Loyalty, Prudence, and Care III (B) Fair Dealing III (C) Suitability III (D) Performance Presentation III (E) Preservation of Confidentiality IV Duties to Employers IV (A) Loyalty IV (B) Additional Compensation Arrangements IV (C) Responsibilities of Supervisors V Investment Analysis, Recommendations, and Action V (A) Diligence and Reasonable Basis V (B) Communication with Clients and Prospective Clients V (C) Record Retention VI Conflicts of Interest VI (A) Disclosure of Conflicts VI (B) Priority of Transactions VI (C) Referral Fees VII Responsibilities as a CFA Institute Member or CFA Candidate VII (A) Conduct in the CFA Program VII (B) Reference to CFA Institute, CFA Designation, and CFA Program
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