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muffin mufmuf
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Decks in this class (16)
Lecture #1
What are the two types of moral r...,
Define ethics 2,
Define inappropriate illegal immo...
30
cards
Lecture #2
What are the indicators of ethica...,
List and define the ethical issues 2,
Name the ethical issue according ...
37
cards
Lecture #3
What is teh ontario securities co...,
What are the top three steps to p...,
Federal regulation governing secu...
12
cards
Lecture #4
What is the difference between co...,
What are the definition s of an a...,
What is the sarbanes oxley act so...
12
cards
Lecture #5
What is standard iii duties to cl...,
Define fiduciary fiduciary respon...,
What are client accounts and list...
15
cards
Other
1 standard ii of the cfa professi...,
1 standard iii of the cfa profess...,
2 in canada federally chartered f...
23
cards
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0
cards
Lecture #7 (#6)
What are referral arrangements an...,
What are hedge funds and mortgage...,
What are limited partnerships lps...
14
cards
Standard IV. Duties to Employers
What is the cfa standard iv dutie...,
Standard iv b additional compensa...,
Standard iv c supervisory respons...
40
cards
Lecture #8
What is important to remeber when...,
What are the different ways of co...,
When you re presenting your clien...
10
cards
Standard V. Investment Analysis
Standard v investment analysis re...,
Communication with clients v b 2,
Record retention v c 3
52
cards
Lecture #9
What are causes of conflict of in...,
List what are the 3 types of conf...,
Define conflict of interest 3
16
cards
Standard VI. Conflicts of Interest
Cfa standard vi conflicts of inte...,
Standard vi b priority of transac...,
Standard vi c referral fees 3
35
cards
Standard VII. Responsibilities as a CFA Institute Member or CFA Candidate
Cfa standard vii responsibilities...,
Standard vii b reference to cfa i...,
Yu brings handwritten notes into ...
34
cards
Lecture #10
What is sri what does it stand fo...,
List the 2 impact strategies and ...,
Shareholder engagementimpact stra...
25
cards
Lecture #11
Who was adam smith what was the b...,
What is capitalism s social licen...,
Define neoclassical economics and...
15
cards
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ADMS 4502
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