7 Standards of Professional Conduct: CFA L1

The following is a list of the Standard of Professional Conduct. Candidates should on purpose of the standard, application of the standard, and proper procedures of compliance for each standard:

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I. Professionalism
II. Integrity of Capital Markets
III. Duties to Clients and Prospective Clients
IV. Duties to Employers
V. Investment Analysis, Recommendations, and Action
VI. Conflicts of Interest
VII. Responsibilities as a CFA Institute Member or CFA Candidate

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