عنوان

Standards of practice handbook /

(Number (ISBN

1932495339

(Number (ISBN

9781932495331

Number

b758130

Title Proper

Standards of practice handbook /

General Material Designation

[Book]

First Statement of Responsibility

CFA Institute.

Edition Statement

9th ed.

Place of Publication, Distribution, etc.

Charlottesville, VA. :

Name of Publisher, Distributor, etc.

CFA Institute,

Date of Publication, Distribution, etc.

2005.

Specific Material Designation and Extent of Item

xi, 169 pages ;

Dimensions

25 cm

Text of Note

"The purpose of this Standards of Practice Handbook is to provide up-to-date guidance to the people who grapple with real ethical problems in the investment profession."--Preface.

Text of Note

Standard I: Professionalism -- A. Knowledge of the Law -- B. Independence and Objectivity -- C. Misrepresentation -- D. Misconduct -- Standard II: Integrity of Capital Markets -- A. Material Nonpublic Information -- B. Market Manipulation -- Standard III: Duties to Clients -- A. Loyalty, Prudence, and Care -- B. Fair Dealing -- C. Suitability -- D. Performance Presentation -- E. Preservation of Confidentiality -- Standard IV: Duties to Employers -- A. Loyalty -- B. Additional Compenstation Arrangements -- C. Responsibilities of Supervisors -- Standard V: Investment Analysis, Recommendations, and Actions -- A. Diligence and Reasonable Rates -- B. Communication with Clients and Prospective Clients -- C. Record Retention -- Standard VI: Conflicts of Interest -- A. Disclosure of Conflicts -- B. Priority of Transactions -- C. Referral Fees -- Standard VII: Responsiblities as a CFA Institute Member of CFA Candidate -- A. Conducts as Members and Candidates in the CFA Program -- B. Reference CFA Institute, the CFA Designation, and the CFA Program.

0

Text of Note

The purpose of this Standards of Practice Handbook is to provide up-to-date guidance to the people who grapple with real ethical problems in the investment profession, where theory meets practice and ethics gain meaning. This handbook is intended for a diverse and global audience: CFA Institute members navigating ambiguous ethical situations; supervisors and subordinates determining the nature of their responsiblities to one another, to clients and potential clients, and to the securities markets; and candidates preparing for the chartered financial analyst examinations.

Title

Standards of practice handbook.

Investment advisors-- Professional ethics-- United States, Handbooks, manuals, etc.

Conseiller financier.

Déontologie.

Investment advisors-- Professional ethics.

Norme.

Pratique professionnelle.

États-Unis.

United States.

7

7

Number

Edition

Class number

Book number

CFA Institute.

Date of Transaction

20201204181317.0

Electronic name

[Book]

Y