1
Q
Standard I professionalism
A
A. Knowledge of the law
B. Independence and Objectivity
C. Misrepresentation
D. Misconduct
2
Q
Standard II: Integrity of Capital Markets
A
A. Material Nonpublic Infomration
B. Market Manipulation
3
Q
Standard III: Duties to clients
A
A. Loyalty, prudence and care B. Fair dealing C. Suitability D. Performance presentation E. Preservation of confidentiality
4
Q
Standard IV: duties to Employers
A
A. Loyalty
B. Additional Compensation Arrangements
C. Responsibilities of supervisors
5
Q
Standard V: Investment analysis, reccomendations and actions
A
A. Diligence and reasonable basis
B. Communication with clients and prospective clients
C. Record retention
6
Q
Standard VI: Conflicts of interest
A
A. Disclosure of conflicts
B. Priority of transactions
C. Referral Fees
EIF
flashcards
Decks in class (16)
# Cards
-
Lecture 1: Part 1 - Ethics and the world of business20
-
Lecture 1: Part 2 - Market Ethics and Roles in business ethics20
-
Lecture 1: Part 3 - Ethical Theories18
-
Lecture 2 - Part 1: Whistleblowing12
-
Lecture 2 - Part 2: Trade secrets and conflict of interest9
-
Lecture 4: Part 1: Corporate Social Responsibility15
-
Lecture 4: Corporate governance and accountability22
-
Lecture 5: International business ethics29
-
Lecture 3 - Ethics in Finance19
-
CFA Standards - Overview6
-
Standard 1: Professionalism13
-
Standard II: Integrity of capital markets9
-
Standard III: Duties to Clients14
-
Standard IV: Duties to employers11
-
Standard V: Investment Analysis, Recommendations and Actions10
-
Standard VI Conflicts of interest6
