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CFA - L2 Ethics

ethics, mapping of standard of practise Number to description

QuestionAnswer
I Professionalism
II Integrity of Capital Market
III Duties to Client
IV Duties to Employer
V Investment Analysis, Recommendation, Action
VI Conflicts of Interest
VII Reponsibilities as CFA Insittutes Member or CFA Candidate
1A Knowledge of the Law
1B Independence & Objectivity
1C Misrepresentation
I1D Misconduct
2A Material Nonpublic Information
2B Market Manipulation
3A Loyalty Prudence and Care
3B Fair Dealing
3C Suitability
3D Performance Presentation
3E Preservation of Confidentiality
4A Loyalty
4B Additional Compensation Arrangement
4C Responsibility of Supervisor
5A Diligence and Reasonable Basis
5B Communication with Clientsand Prospective Clients
5C Record Retention
6A Disclosure of Conflicts
6B Priority of Transaction
6C Referral Fees
7A Conduct as Members and Candidates in CFA program
7B Reference to CFA institute, designation, program
Created by: uncle_mk2
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