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Ethics Level 1 Cfa PDF
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Ethics Level 1 Cfa PDF
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Author:
Shashank Jain
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Parent chart
Code and Standards
I. Profess ionalis m
II. Integrity of Capital Markets
III. Duties to Clients and Prospecti ve Clients
IV. Duties to Employe rs
V. Investme nt Analysis, Recomm endation s, and Action
VI. Conflicts of Interest
VII. Responsi bilities as a CFA Institute Member or CFA Candidat
Standard I: Professionalism I-A: Knowledge of the Law I-B: Independen ce and Objectivity I-C: Misrepresent ation I-D: Misconduct
II-A: Material Nonpublic Information
II-B: Market Manipulation Standard II: Integrity of Capital Markets
III-A: Loyalty, Prudence, and Care
III-B: Fair Dealing
III-D: Performance Presentation
III-C: Suitability
III-E: Preservation of Confidentiality
LOYALTY ADDITIONAL COMPENSATION ARRANGEMEMNTS RESPONSIBILTIES OF SUPERVISIORS
Standard V: INVESTMENT ANALYSIS,RECOMMENDAIONS AND ACTIONS
DILIGENCE AND REASONABLE BASIS
COMMUNICATION WITH CLIENTS AND PROSPECTIVE CLIENTS
Standard VI:CONFLICTS OF INTEREST
DISCLOSURE OF CONFLICTS
REFERRAL FEES
PRIORITY OF TRANSACTIONS
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