Ethics

Front 1

Name The Six Components of the Code of Ethics

Back 1

1.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.
2.Place the integrity of the investment profession and the interests of clients above their own personal interests.
3.Use reasonable care and exercise independent professional judgment when conducting investment analysis, making investment recommendations, taking investment actions, and engaging in other professional activities.
4.Practice and encourage others to practice in a professional and ethical manner that will reflect credit on themselves and the profession.
5.Promote the integrity of, and uphold the rules governing, capital markets.
6.Maintain and improve their professional competence and strive to maintain and improve the competence of other investment professionals.

Front 2

7 Standards of Professional Conduct

Back 2

1.Professionalism.
2. Integrity of Capital Markets.
3.Duties to Clients.
4.Duties to Employers.
5.Investment Analysis, Recommendations, and Action.
6Conflicts of Interest.
7Responsibilities as a CFA Institute Member or CFA Candidate.

Front 3

1.Standard of Professional Conduct: Professionalism

Back 3

A. Knowledge of the law
B. Independence and Objectivity
C. Misrepresentation
D. Misconduct

Front 4

2.Standard of Professional Conduct: Integrity of Capital Markets

Back 4

A. Material Non Public Information
B. Market Manipulation

Front 5

3.Standard of Professional Conduct: Duties to Clients

Back 5

A. Loyalty Prudence and Care
B. Fair Dealing
C. Suitability
D. Performance Presentation
E. Preservation of Confidentiality

Front 6

4.Standard of Professional Conduct: Duties to Employers

Back 6

A. Loyalty
B. Additional Compensation Arrangements
C. Responsibilities of supervisors

Front 7

5.Standard of Professional Conduct: Investment Analysis, Recommendations, Actions

Back 7

A. Diligence and Reasonable Basis
B. Communication with Clients and prospective clients
C. Record Retention

Front 8

6.Standards of Professional Conduct and Guidance: Conflicts of Interest

Back 8

A. Disclosure of conflicts
B. Priority of Transactions
C. Referral Fees

Front 9

7.Standards of Professional Conducts: Responsibilities as a CFA Institute Member or CFA Canditate

Back 9

A. Conduct as members and candidates in the CFA program
B. Reference to the CFA institute the CFA designation and the CFA program