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Standards of Practice Handbook 2010 Tenth Edition by CFA Institute ISBN 0938367226 978-0938367222

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Standards of Practice Handbook Tenth Edition 2010 Cfa Institute Digital Instant Download

Author(s): CFA Institute
ISBN(s): 0938367226
File Details: PDF, 1.19 MB
Year: 2010
Language: english
SKU: EB-2529720 Category: Tag:

Standards of Practice Handbook 2010 Tenth Edition by CFA Institute – Ebook PDF Instant Download/Delivery: 0938367226, 978-0938367222

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Product details:

ISBN 10: 0938367226

ISBN 13: 978-0938367222 

Author: CFA Institute

The tenth edition of the Standards of Practice Handbook contains the CFA Institute Code of Ethics and Standards of Professional Conduct with related guidance and examples illustrating application of the Standards in the day-to-day professional activities of members and candidates. The tenth edition guidance and provision are effective 1 July 2010.

Table of contents:

1. Preface
2. Why Ethics Matters
3. CFA Institute Code of Ethics and Standards of Professional Conduct

Standard I: Professionalism
4. A. Knowledge of the Law
5. B. Independence and Objectivity
6. C. Misrepresentation
7. D. Misconduct

Standard II: Integrity of Capital Markets
8. A. Material Nonpublic Information
9. B. Market Manipulation

Standard III: Duties to Clients
10. A. Loyalty, Prudence, and Care
11. B. Fair Dealing
12. C. Suitability
13. D. Performance Presentation
14. E. Preservation of Confidentiality

Standard IV: Duties to Employers
15. A. Loyalty
16. B. Additional Compensation Arrangements
17. C. Responsibilities of Supervisors

Standard V: Investment Analysis, Recommendations, and Actions
18. A. Diligence and Reasonable Basis
19. B. Communication with Clients and Prospective Clients
20. C. Record Retention

Standard VI: Conflicts of Interest
21. A. Disclosure of Conflicts
22. B. Priority of Transactions
23. C. Referral Fees

Standard VII: Responsibilities as a CFA Institute Member or CFA Candidate
24. A. Conduct as Members and Candidates in the CFA Program
25. B. Reference to CFA Institute, the CFA Designation, and the CFA Program

26. Sample CFA Institute Standards of Practice Exam
27. Index

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Tags: CFA Institute, Standards, Practice, Handbook, 2010