Caia Level 1

- Self -disclosure, - Written complaints by the Professional Conduct staff - Complaints received through sources, - Reports by a CFA exam - Interview member/candidate, - Interview complainant, - Collect documents and records - No disciplinary sanctions, - Cautionary letter, - Discipline member/candidate

- Act with integrity, competence, diligence, respect, and in an ethical manner with the public, clients, prospective clients, employers, employees, colleagues in the investment profession, and other participants in the global capital markets; - Place the integrity of the investment profession and the interest of clients above their own personal interests - Use reasonable care and exercise independent professional judgement when conducting investment analysis, making investment recommendations, taking investment action, and engaging in other professional activities - Practice and encourage others to practice in a professional and ethical manner that will reflect credit on themselves and the profession - Promote the integrity of, and uphold the rules governing, capital markets - Maintain and improve their professional competence and strive to maintain and improve the competence of other investment professionals

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

Knowledge of the Law Independence and Objectivity Misrepresentation Misconduct

Material Nonpublic Information Market Manipulation

Loyalty, Prudence, and Care Fair Dealing Suitability Perfomance Presentation Preservation of Confidentiality

Loyalty Additional Compensation Arragements Responsibility of Supervisors

Diligence and Reasonable Basis Communication with Clients and Prospective Clients Record Retention