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ftx3044f (finance 2a)

This class was created by Brainscape user Michael De Gouveia. Visit their profile to learn more about the creator.

By: Michael De Gouveia
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Decks in this class (26)

1) Introduction
What is ethics,
What is ethical conduct 2,
For example some decisions maybri...
17  cards
2) The CFA Institute Code of Ethics
What must members of the cfa inst...
1  cards
3) The standards of Professional conduct
What are the standards of profess...,
What is the apporach to each stan...
2  cards
3.1) Professionalism 1 (A): Knowledge of the law
What is the substandard 1 a of pr...,
What does 1 a knowledge of the la...,
How is 1 a knowledge of the law i...
8  cards
3.1) Professionalism 1(B): Independence and Objectivity
What does the standard 1 b indepe...,
How is independence and objectivi...,
How is independence and objectivi...
7  cards
3.1) Professionalism 1(C): Misrepresentation
0  cards
3.1) Professionalism 1 (D): Misconduct
0  cards
3.2) Integrity of Capital Markets 2(A): Material non-public information
0  cards
3.2) Integrity of Capital Markets 2(B): Market manipulation
0  cards
3.3) Duties to clients 3(A) : Loyalty, prudence and care
0  cards
3.3) Duties to clients 3(B) : Fair dealing
0  cards
3.3) Duties to clients 3(C) : Suitability
0  cards
3.3) Duties to clients 3(D) : Performance presentation
0  cards
3.3) Duties to clients 3(E) : Preservation of confidentiality
0  cards
3.4) Duties to Employers 4(A): Loyalty
0  cards
3.4) Duties to Employers 4(B): Additional compensation arrangements
0  cards
3.4) Duties to Employers 4(C): Responsibilities of Supervisors
0  cards
3.5) Investment Analysis, Recommendations and Actions 5(A): Diligence and Reasonable Basis
0  cards
3.5) Investment Analysis, Recommendations and Actions 5(B): Communication with Existing and Prospective Clients
0  cards
3.5) Investment Analysis, Recommendations and Actions 5(C): Record Retention
0  cards
3.6) Conflict of interest 6(A): Disclosure of Conflicts
0  cards
3.6) Conflict of interest 6(B): Priority of Transactions
0  cards
3.6) Conflict of interest 6(C): Referral Fees
0  cards
3.7) Responsibilities as CFA members or Candidates 7(A): Conduct as Participants in CFA Institute Programmes
0  cards
3.7) Responsibilities as CFA members or Candidates 7(B): Reference to CFA Institute, Designation and Programme
0  cards
4) Summary and helpful tips
0  cards

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ftx3044f (finance 2a)

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