Standards of Professional Conduct

这是一篇关于Standards of Professional Conduct的思维导图。

Standards of Professional Conduct

Professionalism

Knowledge of the Law

Independence and Objectivity

Misrepresentation

Misconduct

Integrity of Capital Market

Material Nonpublic Information

Market Manipulation

Duties to Clients

Loyalty, Prudence, and Care

Fair dealing

Suitablity

Performance Presentation

Preservation of Confidentiality

Duties to Employers

Loyalty

additional Compensation Arrangements

Responsibilities of supervisors

Investment Analysis, Recommendations. and Actions

Diligence and Reasonable Basis

Communication with Clients and Prospective Clients

Records Rentention

Conflict of Interest

Disclosure of Conflict

Priority of Transactions

Referral Fees

Responsibilities as a CFA Institute Member or CFA Candidate

Conduct as Participants in CFA Instituete Programs

Reference to CFA Institute, the CFA Designation, amd the CFA Program