Study your flashcards anywhere!

Download the official Cram app for free >

  • Shuffle
    Toggle On
    Toggle Off
  • Alphabetize
    Toggle On
    Toggle Off
  • Front First
    Toggle On
    Toggle Off
  • Both Sides
    Toggle On
    Toggle Off
  • Read
    Toggle On
    Toggle Off
Reading...
Front

How to study your flashcards.

Right/Left arrow keys: Navigate between flashcards.right arrow keyleft arrow key

Up/Down arrow keys: Flip the card between the front and back.down keyup key

H key: Show hint (3rd side).h key

A key: Read text to speech.a key

image

Play button

image

Play button

image

Progress

1/15

Click to flip

15 Cards in this Set

  • Front
  • Back
First STANDARDS OF PROFESSIONAL CONDUCT
I. PROFESSIONALISM
A. Knowledge of the Law.
B. Independence and Objectivity.
C. Misrepresentation.
D. Misconduct.
2nd STANDARDS OF PROFESSIONAL CONDUCT
INTEGRITY OF CAPITAL MARKETS
A. Material Nonpublic Information
B. Market Manipulation
3rd STANDARDS OF PROFESSIONAL CONDUCT
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
IV. DUTIES TO EMPLOYERS
A. Loyalty
B. Additional Compensation Arrangements
C. Responsibilities of Supervisors
Fifth STANDARDS OF PROFESSIONAL CONDUCT
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
VI. CONFLICTS OF INTEREST
A. Disclosure of Conflicts
B. Priority of Transactions
C. Referral Fees
Seventh STANDARDS OF PROFESSIONAL CONDUCT
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