Please enable JavaScript.
Coggle requires JavaScript to display documents.
STANDARDS OF PROFESSIONAL CONDUCT - Coggle Diagram
STANDARDS OF PROFESSIONAL CONDUCT
1.
PROFESSIONALISM
MISREPRESNETATION
MISCONDUCT
INDEPENDENCE & OBJECTIVITY
KNOWLEDGE OF LAW
COMPENTENCE
2. INTEGRITY IN CAPITAL INVESTMEN
T
MARKET MANIPULATION
MATERIAL NON PUBLIC INFORMATION
3. DUTIES TO CILENTS
SUITABILTIY
PERFORMANCE PRESENTATION
FAIR DEALING
PRESERVATION OF CONFIDENATIALITY
LOYALTY PRUDENCE AND CARE
4. DUTIES TO EMPLOYERS
ADDITIONAL COMPENSATION ARRAGEMENTS
RESPONSIBILITIES OF SUPERVISORS
LOYALTY
6. CONFLICTS OF INTEREST
PRIORITY OF TRANSACTION
REFERRAL FEES
DISCLOSURE OF CONFLICTS
5. INVESTMENT ANALYSIS,RECOMMENDATIONS,& ACTIONS
COMMUNICATION WITH CLIENTS AND PROSPECTIVE CLIENTS
RECORD RETENTION
DILIGENCE AND REASONABLE BASIS
7.RESPONSIBILITIES AS CFA
CONDUCT AS PARTICIPANTS IN CFA INSTITUTE PROGRAMS
REFERENCE TO CFA INSTITUTE CFA DESIGNATION AND PROGRAM