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CFA flashcards

Wiley - CFA 1 Ethics

This class was created by Brainscape user Nick Polito. Visit their profile to learn more about the creator.

By: Nick Polito
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Decks in this class (12)

Quant 1
R,
Required rate of return,
Discount rate
10  cards
Reading 1 Ethics and Trust
What are situational influences,
Who are the stakeholders in the i...,
List the 3 types of trust specifi...
19  cards
Reading 2 Code of Ethics
List the areas of integrity of ca...,
List the areas of duties to clien...,
List the areas of investment anal...
13  cards
Reading 3.1 Standard 1: Professionalism
List the guidance of the professi...,
Describe the professionalism stan...,
What actions should be taken in d...
17  cards
Reading 3.2 Standard 2: Integrity of Capital Markets
What makes information material,
Give examples of what may be cons...,
Describe examples of transaction ...
9  cards
Reading 3.3 Standard 3: Duties to Clients
In formulating an investment poli...,
List the guidance of the duties t...,
Describe the duties to clients st...
13  cards
Reading 3.5 Standard 5: Investment Analysis Recommendations
Describe the investment analysis ...,
Identify examples of attributes t...,
Describe the responsibilities of ...
9  cards
Reading 3.4 Standard 4: Duties to Employers
Describe the duties to employers ...,
What should be included in termin...,
Describe the duties to employers ...
10  cards
Reading 3.6 Standard 6: Conflicts of Interest
Describe the efforts that must be...,
List the guidance of the conflict...,
Describe the guidance of the conf...
7  cards
Reading 3.7 Standard 7: Responsibilities as a CFAI Member
List the guidance of the responsi...,
Describe the guidance of the resp...,
Describe the responsibilities as ...
4  cards
Reading 4 Intro to GIPS - Global Investment Performance Standards
Describe how a composite is formed,
Describe the aim of gips standards,
Identify common misleading practi...
5  cards
Reading 5 GIPS Standards
Why should investment managers ad...,
Describe the calculation methodol...,
Describe the input data section o...
12  cards

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Wiley - CFA 1 Ethics

  • Class purpose General learning

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