Ethics and Prof Stds
Terms
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- First STANDARDS OF PROFESSIONAL CONDUCT
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I. PROFESSIONALISM
A. Knowledge of the Law.
B. Independence and Objectivity.
C. Misrepresentation.
D. Misconduct. - 2nd STANDARDS OF PROFESSIONAL CONDUCT
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INTEGRITY OF CAPITAL MARKETS
A. Material Nonpublic Information
B. Market Manipulation - 3rd STANDARDS OF PROFESSIONAL CONDUCT
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III. DUTIES TO CLIENTS
A. Loyalty, Prudence, and Care.
B. Fair Dealing.
C. Suitability.
D. Performance Presentation
E. Preservation of Confidentiality - 4th STANDARDS OF PROFESSIONAL CONDUCT
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IV. DUTIES TO EMPLOYERS
A. Loyalty
B. Additional Compensation Arrangements
C. Responsibilities of Supervisors - Fifth STANDARDS OF PROFESSIONAL CONDUCT
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V. INVESTMENT ANALYSIS, RECOMMENDATIONS, AND ACTIONS
A. Diligence and Reasonable Basis
B. Communication with Clients and Prospective Clients
C. Record Retention - Sixth STANDARDS OF PROFESSIONAL CONDUCT
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VI. CONFLICTS OF INTEREST
A. Disclosure of Conflicts
B. Priority of Transactions
C. Referral Fees - Seventh STANDARDS OF PROFESSIONAL CONDUCT
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VII. RESPONSIBILITIES AS A CFA INSTITUTE MEMBER OR CFA CANDIDATE
A. Conduct as members and candidates in the CFA Program
B. Reference to CFA Institute, the CFA designation, and the CFA Program. - 1st First Code of Ethics
- Act with integrity, competence, diligence, respect, and 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.
- 2nd Code of Ethics
- Place the integrity of the investment profession and the interests of clients above their own personal interests.
- 3rd Code of Ethics
- Use reasonable care and exercise independent professional judgment when conducting investment analysis, making investment recommendations, taking investment actions, and engaging in other professional activities.
- 4th Code of Ethics
- Practice and encourage others to practice in a professional and ethical manner that will reflect credit on themselves and the profession.
- 5th Code of Ethics
- Promote the integrity of, and uphold the rules governing, capital markets.
- 6th Code of Ethics
- Maintain and improve their professional competence and strive to maintain and improve the competence of other investment professionals.
- How many? STANDARDS OF PROFESSIONAL CONDUCT
- 7
- THE CODE OF ETHICS How many?
- 6