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Decks in this class (11)
7 Standards of Professional Conduct
The 7 standards of professional c...,
1 professionalism 2,
2 integrity of capital markets 3
8
cards
Standard 1: Professionalism
A knowledge of the law 1,
B independence and objectivity 2,
C misrepresentation 3
4
cards
Standard 2: Integrity of Capital Markets
A material nonpublic information 1,
B market manipulation 2
2
cards
Standard 3: Duties to Clients
A loyalty prudence and care 1,
B fair dealing 2,
C suitability 3
5
cards
Standard 4: Duties to Employers
A loyalty 1,
B additional compensation arrange...,
C responsibilities of supervisors 3
3
cards
Standard 5: Investment Analysis, Recommendations, and Actions
A dilligence and reasonable basis 1,
B communication with clients and ...,
C record retention 3
3
cards
Standard 6: Conflicts of Interest
A disclosure of conflicts 1,
B priority of transactions 2,
C referral fees 3
3
cards
Standard 7: Responsibilities as a CFA institute Member or CFA Candidate
A conduct as participants in cfa ...,
B reference to cfa institute the ...
2
cards
CFA Institute Research Objectivity Standards Objectives
Objectives of cfa institute resea...,
Requirement of research objectivi...,
1 research objectivity policy 3
13
cards
Trade Allocation
Relevant standard 1,
Issues with ad hoc client trade a...,
Steps to ensure appropriate trade...
4
cards
Changing Investment Objectives
Relevant standards 1,
Recommended steps for compliance 2
2
cards
More about
CFA 2: ETHICS
- Class purpose General learning
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