Standards of practice handbook
Corporate author: AIMR Publisher: AIMR, 1996.Edition: 7th ed.Language: EnglishDescription: 268 p. ; 24 cm.ISBN: 1879087758Type of document: Book Bibliography/Index:Item type | Current location | Collection | Call number | Status | Date due | Barcode | Item holds |
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Europe Campus Main Collection |
BJ54 .S83 1996
(Browse shelf) 001266061 |
Available | 001266061 |
Digitized
Standards of Practice Handbook The Code of Ethics and the Standards of Professional Conduct Contents Preface ..................................................................................................... v AIMR's Professional Conduct Program................................................... 1 The Code of Ethics................................................................................... 5 Statement of The Standards of Professional Conduct .............................6 Standard I: Fundamental Responsibilities ...............................................11 Standard II: Relationships with and Responsibilities to the Profession II(A)--Use of Professional Designation............................................19 II(B)--Professional Misconduct........................................................23 II(C)--Prohibition against Plagiarism............................................... 27 Standard III: Relationships with and Responsibilities to the Employer III(A)--Obligation to Inform Employer of Code and Standards.......................................................................33 III(B)--Duty to Employer................................................................. 39 III(C)--Disclosure of Conflicts to Employer ................................... 47 III(D)--Disclosure of Additional Compensation Arrangements ..................................................................... 51 III(E)--Responsibilities of Supervisors ............................................53 Standard IV: Relationships with and Responsibilities to Clients and Prospects A. Investment Process: IV (A.1) Reasonable Basis and Representations.........................61 IV (A.2) Research Reports ......................................................... 69 IV (A.3) Independence and Objectivity ..................................... 75 B. Interactions with Clients and Prospects: IV (B.1) Fiduciary Duties ...........................................................83 IV (B.2) Portfolio Investment Recommendations and Actions. 95 IV (B.3) Fair Dealing.................................................................. 103 IV (B.4) Priority of Transactions................................................ 115 IV (B.5) Preservation of Confidentiality..................................... 123 IV (B.6) Prohibition against Misrepresentation ....................... 127 IV (B.7) Disclosure of Conflicts to Clients and Prospects . . ...131 IV (B.8) Disclosure of Referral Fees.........................................139 Standard V: Relationships with and Responsibilities to the Investing Public V(A)--Prohibition against Use of Material Nonpublic Information 141 V(B)--Performance Presentation ................................................... 147 Professionalism and Service to the Investing Public ............................. 151 Topical Studies: Fiduciary Duty................................................................................. 155 Insider Trading................................................................................. 169 Personal Investing ........................................................................... 183 AIMR Standards of Practice Exam (with Answers and Analysis). . . ... 191 Appendix A. Rules of Procedure for Proceedings Related to Professional Conduct .......................................................................... 211 Appendix B. National Investor Relations Institute Standards and Guidance for Disclosure ...............................................................227 Index....................................................................................................... 255
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