Use LEFT and RIGHT arrow keys to navigate between flashcards;
Use UP and DOWN arrow keys to flip the card;
H to show hint;
A reads text to speech;
9 Cards in this Set
- Front
- Back
List 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 Candiate |
|
List subsections of the Professionalism Standard
|
A. Knowledge of the Law
B. Independence and Objectivity C. Misrepresentation D. Misconduct |
|
List subsections of the Integrity of Capital Markets Standard
|
A. Material Nonpublic Information
B. Market Manipulation |
|
List subsections of the Duties to Clients Standard
|
A. Loyalty, Prudence, and Care
B. Fair Dealing C. Suitability D. Performance Presentation E. Preservation of Confidentiality |
|
List subsections of the Duties to Employers Standard
|
A. Loyalty
B. Additional Compensation Arrangements C. Responsibilities of Supervisors |
|
List subsections of the Investment Analysis, Recommendations, and Actions Standard
|
A. Diligence and Reasonable Basis
B. Communication with Clients and Prospective Clients C. Record Retention |
|
List subsections of the Conflicts of Interest Standard
|
A. Disclosure of Conflicts
B. Priority of Transactions C. Referral Fees |
|
List subsections of the Responsibilities as a CFA Institute Member or CFA Candidate Standard
|
A. Conduct as Members and Candidates in the CFA Program
B. Reference to CFA Institute, the CFA designation, and the CFA Program |
|
List the 8 major sections of the GIPS Standards
|
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 |