CFA Level 1 Ethics

Card Set Information

Author:
Anonymous
ID:
100442
Filename:
CFA Level 1 Ethics
Updated:
2011-09-08 00:44:44
Tags:
Ethics
Folders:

Description:
CFA Level 1 Ethics
Show Answers:

Home > Flashcards > Print Preview

The flashcards below were created by user Anonymous on FreezingBlue Flashcards. What would you like to do?


  1. The Standard 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 Inst. Mem. or CFA Cand.
  2. I. Professionalism
    • A. Knowledge of the Law
    • B. Independence and Objectivity
    • C. Misrepresentation
    • D. Misconduct
  3. II. Integrity of Capital Markets
    • A. Material Nonpublic Information
    • B. Market Manipulation
  4. III. Duties to Clients
    • A. Loyalty, Prudence and Care
    • B. Fair Dealing
    • C. Suitability
    • D. Performance Presentation
    • E. Preservation of Confidentiality

What would you like to do?

Home > Flashcards > Print Preview