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9 Cards in this Set
- Front
- Back
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List the Standards of Professional Conduct
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I: Professionalism
II: Integrity of Capital Markets III: Duties to Clients IV: Duties to Employers V: Investment Analysis, Recommendations, and Actions VI: Conflicts of Interest VII: Responsibilities as a CFA Institute Member or CFA Candiate |
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List subsections of the Professionalism Standard
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A. Knowledge of the Law
B. Independence and Objectivity C. Misrepresentation D. Misconduct |
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List subsections of the Integrity of Capital Markets Standard
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A. Material Nonpublic Information
B. Market Manipulation |
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List subsections of the Duties to Clients Standard
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A. Loyalty, Prudence, and Care
B. Fair Dealing C. Suitability D. Performance Presentation E. Preservation of Confidentiality |
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List subsections of the Duties to Employers Standard
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A. Loyalty
B. Additional Compensation Arrangements C. Responsibilities of Supervisors |
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List subsections of the Investment Analysis, Recommendations, and Actions Standard
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A. Diligence and Reasonable Basis
B. Communication with Clients and Prospective Clients C. Record Retention |
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List subsections of the Conflicts of Interest Standard
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A. Disclosure of Conflicts
B. Priority of Transactions C. Referral Fees |
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List subsections of the Responsibilities as a CFA Institute Member or CFA Candidate Standard
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A. Conduct as Members and Candidates in the CFA Program
B. Reference to CFA Institute, the CFA designation, and the CFA Program |
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List the 8 major sections of the GIPS Standards
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0. Fundamentals of Compliance
1. Input data 2. Calculation methodology 3. Composite Construction 4. Disclosures 5. Presentation and Reporting 6. Real Estate 7. Private Equity |
