Normal view MARC view

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:
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 Europe Campus
Main Collection
Print BJ54 .S83 1996
(Browse shelf)
001266061
Available 001266061
Total holds: 0

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

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?