Exam (elaborations)
CFA - Ethics Questions and Answers 100% Solved
- Module
- Institution
Exam of 3 pages for the course CFA at CFA (CFA - Ethics)
[Show more]
Seller
Follow
julianah420
Reviews received
Content preview
CFA - EthicsWhat are the 6 code of ethics? - answer1. act with integrity, competence, diligence,
respect and in ethical manner towards clients, employers, employees, colleagues and
other participants in global markets
2. integrity of investment profession and client interest > personal interest
3. use independent professional judgment and care when conducting investment
analysis, making
recommendations and taking investment actions
4. practice ethically and professionally and encourage others to do so
5. promote integrity and uphold the rules governing capital markets
6. maintain and improve professional competence and help others to do so
in general: "at all times, act in ethical manner, as you hold a position of responsibility"
What are the 7 standards of professional conduct? - answer I. professionalism: a, b, c, d
II. integrity of capital markets: a, b
III. duties to client: a, b, c, d, e
IV. duties to employers: a, b, c
V. investment analysis, recommendations and actions: a, b, c
VI. conflicts of interest: a, b, c
VII. responsibilities as a CFA institute member or cfa candidate: a, b
Professionalism (I) : - answerA) Knowledge of the law
B) Independence and Objectivity
C) Misrepresentation
D) Misconduct
Integrity of Capital Markets (II): - answerA) Material nonpublic information
B) Market Manipulation
Duties to clients (III): - answerA) Loyalty, Prudence, and Care
B) Fair dealing
C) Suitability
D)Performance Presentation
E) Preservation of Confidentiality
Duties to employers (IV): - answerA) Loyalty
B) Additional compensation arrangements
C) Responsibilities of supervisors
The benefits of buying summaries with Stuvia:
Guaranteed quality through customer reviews
Stuvia customers have reviewed more than 700,000 summaries. This how you know that you are buying the best documents.
Quick and easy check-out
You can quickly pay through credit card for the summaries. There is no membership needed.
Focus on what matters
Your fellow students write the study notes themselves, which is why the documents are always reliable and up-to-date. This ensures you quickly get to the core!
Frequently asked questions
What do I get when I buy this document?
You get a PDF, available immediately after your purchase. The purchased document is accessible anytime, anywhere and indefinitely through your profile.
Satisfaction guarantee: how does it work?
Our satisfaction guarantee ensures that you always find a study document that suits you well. You fill out a form, and our customer service team takes care of the rest.
Who am I buying these notes from?
Stuvia is a marketplace, so you are not buying this document from us, but from seller julianah420. Stuvia facilitates payment to the seller.
Will I be stuck with a subscription?
No, you only buy these notes for £10.68. You're not tied to anything after your purchase.
Can Stuvia be trusted?
4.6 stars on Google & Trustpilot (+1000 reviews)
72042 documents were sold in the last 30 days
Founded in 2010, the go-to place to buy revision notes and other study material for 14 years now