4 - Code of Ethics and Professional Standards（三）

4-1 IV(A).Loyalty（1）

4-2 IV(A).Loyalty（2）

4-3 IV(B).Additional Compensation Arrangements

4-4 IV(C).Responsibilities of Supervisors

4-5 V(A).Diligence and Reasonable Basis（1）

4-6 V(A).Diligence and Reasonable Basis（2）

4-7 V(B).Communication with Clients and Perspective Clients

4-8 V(C).Record Retention

4-9 VI(A).Disclosure of Conflicts

4-10 VI(B).Priority of Transactions

4-11 VI(C).Referral Fees

4-12 VII(A).Conduct as Members or Candidates

4-13 VII(B).Reference to CFA Institute, the CFA Designation，the CFA Program