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" Standards of practice handbook / "
CFA Institute.
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BL
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| Record Number
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1003760
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| Doc. No
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b758130
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| Title & Author
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Standards of practice handbook /\ CFA Institute.
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| Edition Statement
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9th ed.
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| Publication Statement
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Charlottesville, VA. :: CFA Institute,, 2005.
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| Page. NO
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xi, 169 pages ;; 25 cm
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| ISBN
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1932495339
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: 9781932495331
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| Notes
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"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.
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| Contents
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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.
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| Abstract
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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.
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| Subject
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Investment advisors-- Professional ethics-- United States, Handbooks, manuals, etc.
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| Subject
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Déontologie.
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Investment advisors-- Professional ethics.
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| Subject
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Norme.
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| Subject
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Pratique professionnelle.
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| Subject
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Conseiller financier.
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États-Unis.
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| Subject
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United States.
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| Dewey Classification
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174.9332
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| LC Classification
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HG4921.C48 2005
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| Added Entry
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CFA Institute.
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