Standards of Practice Handbook
Professional Book Distributors, 2005 - Business & Economics - 169 pages
The purpose of this Standards of Practice Handbook is to provide up-to-date guidance to the people who grapple with real ethical problems in the investment profession, where theory meets practice and ethics gain meaning. This handbook is intended for a diverse and global audience: CFA Institute members navigating ambiguous ethical situations; supervisors and subordinates determining the nature of their responsiblities to one another, to clients and potential clients, and to the securities markets; and candidates preparing for the chartered financial analyst examinations.
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Integrity of Capital Markets
Duties to Clients
6 other sections not shown
accounts activities allocation applicable law assets beneﬁcial beneﬁt broker brokerage ﬁrm CFA charterholders CFA designation CFA examination CFA Institute Code CFA Institute members CFA Program Chartered Financial Analyst clients and prospective Code and Standards Code of Ethics companyís compliance procedures conﬁdential conﬂicts of interest corporate correct answer disclose to clients disclosure disseminated duty of loyalty employer ensure equity Example ﬁduciary ﬁnance ﬁnancial ﬁrmís ﬁrst guidance incorrect independence and objectivity investment management investment profession investment professionals investment recommendations investors IPOs issues material nonpublic information Member must adhere member or candidate member or candidateís members and candidates mosaic theory mutual fund ofﬁcer participants performance portfolio manager potential conﬂicts Procedures for Compliance Professional Conduct prohibit prospective clients purchase reasonable reﬂect relationship requirements research analyst research report responsibility sell-side analysts signiﬁcant speciﬁc statement supervisor taking investment action tion trading violation of Standard