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