Standards of Practice Handbook: The Code of Ethics and the Standards of Professional Conduct, with Commentary and Interpretation |
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Page 99
... Customers and Clients The financial analyst shall act in a manner consistent with his obligation to deal fairly with all customers and clients when ( 1 ) disseminating investment recom- mendations , ( 2 ) disseminating material changes ...
... Customers and Clients The financial analyst shall act in a manner consistent with his obligation to deal fairly with all customers and clients when ( 1 ) disseminating investment recom- mendations , ( 2 ) disseminating material changes ...
Page 100
... customers or clients are treated fairly in light of their investment objectives and circumstances , notwithstanding the fact that the member may have discretionary power over certain accounts and not over others . In the case of either ...
... customers or clients are treated fairly in light of their investment objectives and circumstances , notwithstanding the fact that the member may have discretionary power over certain accounts and not over others . In the case of either ...
Page 107
... customers and clients necessarily means that their interests have priority over individual transactions by a financial analyst , procedures should be integrated with those required for compliance with Standard IV , Priority of ...
... customers and clients necessarily means that their interests have priority over individual transactions by a financial analyst , procedures should be integrated with those required for compliance with Standard IV , Priority of ...
Contents
The Institute of Chartered Financial Analysts | 1 |
Obligation to Inform Employer of Code and Standards | 8 |
A Required Knowledge and Compliance | 15 |
Copyright | |
9 other sections not shown
Common terms and phrases
accounts activities applicable Association of Securities basic characteristics basis Broker-Dealer brokerage firm Chartered Financial Analyst Code and Standards Code of Ethics compensation compliance procedures Conduct Affected conflicts of interest corporate customers and clients customers or clients designation Chartered Financial disclose disclosure dissemination employer ERISA Ethics and Standards Example Exchange Commission FAF and ICFA fiduciary duty Financial Analysts Federation Financial Analysts Journal firm's Gillis guidelines Handbook inside information insider trading Institute of Chartered investment manager investment professional investment recommendation investors issuer material nonpublic information misrepresentation Modern Portfolio Theory pension fund portfolio manager Procedures for Compliance Professional Conduct Prohibition purchase Reference Material regulations requirements research report responsibility of members SEC Rel Securities Act Securities and Exchange Securities Dealers Securities Exchange Act securities laws self-regulatory organizations Standard The purpose Standards of Professional supervisor taking investment action trust violated Standard York Stock Exchange