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9 Cards in this Set
- Front
- Back
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 Candidate |
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Professionalism
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B. Independence and Objectivity C. Misrepresentation D. Misconduct |
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Integrity of Capital Markets
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A. Material Nonpublic Information B. Market Manipulation |
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Duties to Clients
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B. Fair Dealing C. Suitability D. Performance Presentation E. Preservation of Confidentiality |
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Duties to Employers |
B. Additional Compensation Arrangements C. Responsibilities of Supervisors |
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Investment Analysis, Recommendations, and Actions |
B. Communicate with Clients and Prospective Clients C. Record Retention |
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Conflicts of Interest |
B. Priority of Transactions C. Referral Fees |
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Responsibilities as a CFA Institute Member or CFA Candidate |
B. Reference to CFA Institute, the CFA Designation, and the CFA Program. |
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GIPS Standards Sections
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1. Input Data 2. Calculation Methodology 3. Composite Construction 4. Disclosures 5. Presentation and Reporting 6. Real Estate 7. Private Equity 8. Wrap fee/Separately Managed Account (SMA) Portfolios |