Normal view MARC view

Standards of practice handbook

Publisher: Institute of Chartered Financial Analysts, 2005.Language: EnglishDescription: 169 p. ; 24 cm.ISBN: 1932495339Type of document: BookBibliography/Index: Includes index
Tags: No tags from this library for this title. Log in to add tags.
Item type Current location Collection Call number Status Date due Barcode Item holds
Book Asia Campus
Archives
Print BJ54 .S83 2005
(Browse shelf)
900095419
Available 900095419
Total holds: 0

Includes index

Digitized

Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .v Proposed CFA Institute Code of Ethics and Standards of Professional Conduct . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Standard I: Professionalism A. B. C. D. Knowledge of the Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 Independence and Objectivity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 Misrepresentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25 Misconduct . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33 Standards of practice handbook Standard 11: Integrity of Capital Markets A. Material Nonpublic Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 B. Market Manipulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .49 Standard 111: Duties to clients A. Loyalty. Prudence. and Care . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53 B. FairDealing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61 C . Suitability. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69 D. Performance Presentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .75 E. Preservation of Confidentiality. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79 Standard IV: Duties to Employers A. Loyalty. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83 B. Additional Compensation Arrangements . . . . . . . . . . . . . . . . . . . . . . 91 C. Responsibilities of Supervisors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93 Standard V: Investment Analysis. Recommendations. and Actions A. Diligence and Reasonable Basis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99 B. Communication with Clients and Prospective Clients . . . . . . . . . . . 105 C . Record Retention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .111 Standard VI: Conflicts of Interest A. Disclosure of Conflicts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113 B. Priority of Transactions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .121 C . Referral Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127 Standard VII: Responsibilities as a CFA Institute Member or CFA Candidate A. Conduct as Members and Candidates in the CFA Program . . . . . . . 131 B . Reference to CFA Institute. the CFA Designation. and the CFA Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .135 CFA Institute Standards of Practice Exam . . . . . . . . . . . . . . . . . . . . . . . . . . . 143 Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159

There are no comments for this item.

Log in to your account to post a comment.
Koha 18.11 - INSEAD Catalogue
Home | Contact Us | What's Koha?