[CFA Level I] 12, Avoiding or Disclosing Conflicts of Interest

Podcast: Finance Exam Prep · Ran Chen, EA, CFP®

Opublikowano: 2026-10-31

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - Core requirements of CFA Standard VI(A) regarding disclosure of potential and actual conflicts of interest. - Why conflict disclosures must be prominent, delivered in plain language, and provided to clients, prospects, and employers. - Common conflict scenarios involving personal stock ownership, corporate board service, and sales incentives. - Why disclosure p...