Guidance for Standard I: Professionalism

Standard I, Professionalism: knowing and following the stricter of the law and the Code, staying independent and objective, never misrepresenting, and avoiding misconduct and incompetence.

1. 1. Standard I: ProfessionalismStandard I asks five things of every member and candidate: know and follow the stricter rule, stay independent, never mislead, never act dishonestly, and be competent for the job you actually do.Video · 5 minFree16 min
2. 2. Standard I cases: knowledge of the law and dissociationUnder I(A), first find the law that really governs your conduct, then follow whichever of that law and the Code is stricter, and step away from any violation you know or should know about.14 min
3. 3. Standard I cases: pressure on analysts and performance staffIndependence fails when someone with a stake can move your conclusion. Keep the opinion you reached from the facts, state it plainly, and send the pressure to compliance.15 min
4. 4. Standard I cases: gifts, travel, manager selection and paid researchJudge every benefit by its size, its timing and its purpose: modest and business-related is fine, but anything that rewards past business or buys future business compromises independence.14 min
5. 5. Standard I cases: misrepresenting services, products and resultsA statement misrepresents when it leaves a reasonable client with a false picture, whether through a false fact, a true number picked selectively, an omitted risk or an error left uncorrected.15 min
6. 6. Standard I cases: plagiarism, third-party material and online contentUse other people's work freely but name it: credit belongs to whoever produced the idea, the model or the data, and whatever you pass on becomes your responsibility.14 min
7. 7. Standard I cases: misconduct and competenceAsk two things: did the conduct involve dishonesty or damage trust in your professional life, and did you have the knowledge and skill the role required before you acted? A bad result alone answers neither.13 min
8. 8. Standard I cases (2027): what counts as professional conductDishonesty is judged under I(D) only when it is professional conduct, so ask first whether the act happened in the workplace or the markets, or leaned on your charter, membership or candidacy; the same role logic limits how much law I(A) expects you to know.12 min
9. 9. Standard I cases (2027): accurate, timely, complete and plainIn 2027 every communication is checked against four tests (accurate, timely, complete, plain language), and the newer traps are ESG claims, AI capability claims, who really does the work, stale results and thin information for prospects.14 min