Guidance for Standard VI: Conflicts of Interest

Free CFA Level I lesson in Ethical and Professional Standards. 19 min read, ~2,775 words.

VI(A) Disclosure: full, fair, and prominent in the document the client actually reads, delivered before the conflict can taint judgment, not after. VI(B) Priority: clients first, employer second, personal accounts last. Personal includes spouse, minor children, household members, and controlled trusts (beneficial ownership). VI(C) Referral fees: disclose existence, nature, and...

What this lesson covers

• Content
• Example 1
• Example 2
• Common Mistakes
• Check Your Understanding
• Exam Shortcuts

Learning objectives

• standard VI conflicts of interest

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