Sommaire : Contents

Preface

CFA Institute Code of Ethics and Standards of Professional Conduct

Standard I : Professionalism
A. Knowledge of the Law
B. Independence and Objectivity
C. Misrepresentation
D. Misconduct

Standard II : Integrity of Capital Markets
A. Material Nonpublic Information
B. Market Manipulation

Standard III : Duties to Clients
A. Loyalty, Prudence, and Care
B. Fair Dealing.
C. Suitability
D. Performance Presentation.
E. Preservation of Confidentiality

Standard IV : Duties to Employers
A. Loyalty
B. Additional Compensation Arrangements
C. Responsibilities of Supervisors

Standard V : Investment Analysis, Recommendations, and Actions
A. Diligence and Reasonable Basis
B. Communication with Clients and Prospective Clients
C. Record Retention

Standard VI : Conflicts of Interest
A. Disclosure of Conflicts
B. Priority of Transactions
C. Referral Fees

Standard 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
CFA Institute Standards of Practice Exam

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Langue : Anglais

Edition : 9ème

Localisation : Bibliothèque Campus de Nice

Support : Papier

Etat : Présent

Propriétaire : Bibliothèque