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29 Cards in this Set
- Front
- Back
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I
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Professionalism
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II
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Integrity of Capital Market
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III
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Duties to Client
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IV
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Duties to Employer
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V
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Investment Analysis, Recommendation, Action
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VI
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Conflicts of Interest
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VII
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Reponsibilities as CFA Insittutes Member or CFA Candidate
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1A
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Knowledge of the Law
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1B
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Independence & Objectivity
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1C
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Misrepresentation
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1D
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Misconduct
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2A
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Material Nonpublic Information
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2B
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Market Manipulation
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3A
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Loyalty Prudence and Care
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3B
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Fair Dealing
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3C
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Suitability
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3D
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Performance Presentation
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3E
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Preservation of Confidentiality
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4A
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Loyalty
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4B
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Additional Compensation Arrangement
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4C
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Responsibility of Supervisor
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5A
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Diligence and Reasonable Basis
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5B
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Communication with Clientsand Prospective Clients
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5C
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Record Retention
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6A
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Disclosure of Conflicts
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6B
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Priority of Transaction
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6C
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Referral Fees
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7A
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Conduct as Members and Candidates in CFA program
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7B
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Reference to CFA institute, designation, program
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