Ethics

Question 1

Ethics:

1. How to act to others

Answer 1

1. Act with:
   - integrity,
   - competence,
   - diligence, and
   - respect
   in an ethical manner with the
   - public,
   - clients,
   - prospective clients,
   - employers,
   - employees,
   - colleagues in the investment profession,
   - and other participants in the global capital markets

Question 2

Ethics:

2. Put the interest of market and clients above yours

Answer 2

2. Place the integrity of the investment profession and the interest of clients above their own personal interests

Question 3

Ethics:

3. Do your job with care

Answer 3

3. Use:
   - reasonable care, and
   - exercise independent professional judgement,
   when:
   - conducting investment analysis,
   - making investment recommendations,
   - taking investment actions, and
   - engaging in other professional activities

Question 4

Ethics:

4. Practice and encourage others to be profesh and ethical

Answer 4

4. Practice and encourage others to practice in a professional and ethical manner that will reflect credit on themselves and the profession

Question 5

Ethics:

5. Promote importance of capital markets to society

Answer 5

5. Promote the integrity and viability of the global capital markets for the ultimate benefit of society

Question 6

Ethics:

6. Get better and help others get better

Answer 6

6. Maintain and improve their professional competence and strive to maintain and improve the competence of other investment professionals