Ethics And Prof Stds

Front 1

First STANDARDS OF PROFESSIONAL CONDUCT

Back 1

I. PROFESSIONALISM
A. Knowledge of the Law.
B. Independence and Objectivity.
C. Misrepresentation.
D. Misconduct.

Front 2

2nd STANDARDS OF PROFESSIONAL CONDUCT

Back 2

INTEGRITY OF CAPITAL MARKETS
A. Material Nonpublic Information
B. Market Manipulation

Front 3

3rd STANDARDS OF PROFESSIONAL CONDUCT

Back 3

III. DUTIES TO CLIENTS
A. Loyalty, Prudence, and Care.
B. Fair Dealing.
C. Suitability.
D. Performance Presentation
E. Preservation of Confidentiality

Front 4

4th STANDARDS OF PROFESSIONAL CONDUCT

Back 4

IV. DUTIES TO EMPLOYERS
A. Loyalty
B. Additional Compensation Arrangements
C. Responsibilities of Supervisors

Front 5

Fifth STANDARDS OF PROFESSIONAL CONDUCT

Back 5

V. INVESTMENT ANALYSIS, RECOMMENDATIONS, AND ACTIONS
A. Diligence and Reasonable Basis
B. Communication with Clients and Prospective Clients
C. Record Retention

Front 6

Sixth STANDARDS OF PROFESSIONAL CONDUCT

Back 6

VI. CONFLICTS OF INTEREST
A. Disclosure of Conflicts
B. Priority of Transactions
C. Referral Fees

Front 7

Seventh STANDARDS OF PROFESSIONAL CONDUCT

Back 7

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.

Front 8

1st First Code of Ethics

Back 8

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.

Front 9

2nd Code of Ethics

Back 9

Place the integrity of the investment profession and the interests of clients above their own personal interests.

Front 10

3rd Code of Ethics

Back 10

Use reasonable care and exercise independent professional judgment when conducting investment analysis, making investment recommendations, taking investment actions, and engaging in other professional activities.

Front 11

4th Code of Ethics

Back 11

Practice and encourage others to practice in a professional and ethical manner that will reflect credit on themselves and the profession.

Front 12

5th Code of Ethics

Back 12

Promote the integrity of, and uphold the rules governing, capital markets.

Front 13

6th Code of Ethics

Back 13

Maintain and improve their professional competence and strive to maintain and improve the competence of other investment professionals.

Front 14

How many? STANDARDS OF PROFESSIONAL CONDUCT

Back 14

7

Front 15

THE CODE OF ETHICS How many?

Back 15

6