Guidance for Standard IV: Duties to Employers

Standard IV, Duties to Employers: loyalty to the employer, disclosing outside compensation, and the responsibilities of supervisors.

1. 1. Standard IV: Duties to EmployersBe loyal to your employer while you work there, get written consent before taking outside pay that could conflict, and if you supervise people, make reasonable efforts to prevent and detect their violations.Video · 6 minFree14 min
2. 2. Standard IV(A) cases: loyalty, outside work and leavingWhile a firm pays you, you act for its benefit: prepare and plan freely, but never compete, solicit, take records or leak its views, and let clients and market integrity outrank the firm only when protecting them is the clear aim.16 min
3. 3. Standard IV(B) and IV(C) cases: outside pay and supervisionOutside pay that could sway you needs your employer's written consent before you take it; supervisors must build systems that prevent and detect violations, make sure they are followed, and act on what they learn.15 min
4. 4. Standard IV cases: notice periods and supervision (2027 additions)The 2027 text draws sharper lines around what you may say to clients once you have given notice, and adds supervision cases on branch suitability controls and price quotes.12 min