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9 Cards in this Set

  • Front
  • Back
The Standards of Professional Conduct

I: Professionalism


II: Integrity of Capital Markets


III: Duties to Clients


IV: Duties to Employers


V: Investment Analysis, Recommendations, and Actions


VI: Conflicts of Interest


VII: Responsibilities as a CFA Institute Member or CFA Candidate
Professionalism


A. Knowledge of the Law


B. Independence and Objectivity


C. Misrepresentation


D. Misconduct
Integrity of Capital Markets

A. Material Nonpublic Information


B. Market Manipulation
Duties to Clients


A. Loyalty, Prudence, and Care


B. Fair Dealing


C. Suitability


D. Performance Presentation


E. Preservation of Confidentiality


Duties to Employers


A. Loyalty


B. Additional Compensation Arrangements


C. Responsibilities of Supervisors

Investment Analysis, Recommendations, and Actions


A. Diligence and Reasonable Basis


B. Communicate with Clients and Prospective Clients


C. Record Retention

Conflicts of Interest


A. Disclosure of Conflicts


B. Priority of Transactions


C. Referral Fees

Responsibilities as a CFA Institute Member or CFA Candidate


A. Conduct as Participants in CFA Institute Programs


B. Reference to CFA Institute, the CFA Designation, and the CFA Program.

GIPS Standards Sections


0. Fundamentals of Compliance


1. Input Data


2. Calculation Methodology


3. Composite Construction


4. Disclosures


5. Presentation and Reporting


6. Real Estate


7. Private Equity


8. Wrap fee/Separately Managed Account (SMA) Portfolios