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2 ethical and professional standards (2) (standard 3: duties to clients (A…
2 ethical and professional standards (2)
standard 1: professionalism
A: knowledge of the law
B: independence and objectivity
C: misrepresentaion
D: misconduct
standard 2: integrity of capital markets
A: material nonpublic information
B: market manipulation
standard 3: duties to clients
A: loyalty prudence and care
B: fair dealing
C: suitability
D: performance presentation
E: preservation of confidentiality
standard 4: duties to employers
A: loyalty
B: additional compensation arrangements
C: responsibilities of supervisors
standard 5: investment analysis recommendations and actions
A: diligence and ressonable basis
B: communication with clients and prospective clients
C: record retention
standard 6: conflicts of interest
A: disclosure of conflicts
B: priority of transactions
C: referral fees
standard 7: responsibilities as a CFA institute member or candidate
A: conduct as participants in CFA institute programs
B: reference to CFA institute the CFA designation and the CFA program