Study Session #1
Learning Outcome Statements
(Last revised 11/26/04)
“Standards of Professional Conduct”
Standards of Practice Handbook

Code of Ethics

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Standard I: Fundamental Responsibilities
Standard II: Relationships with and Responsibilities to the Profession
Standard II A: Use of Professional Designation
Standard II B: Professional Misconduct
Standard II C: Prohibition against Plagiarism
Standard III: Relationships with and Responsibilities to the Employer
Standard III (A): Obligation to inform Employer of Code and Standards.
Standard III (B): Duty to Employer.
Standard III (C): Disclosure of Conflicts of Interest.
Standard III (D): Disclosure of Additional Compensation Arrangements.
Standard III (E): Responsibilities of Supervisors
Standard IV: Relationships with and Responsibilities to Clients and Prospects
Standard IV (A): Investment Process
Standard IV (A.1): Reasonable Basis and Representation.
Standard IV (A.2): Research Reports.
Standard IV (A. 3): Independence and Objectivity.
Standard IV (B): Interactions with Clients and Prospects
Standard IV (B. 1): Fiduciary Duties.
Standard IV (B.2a): Portfolio Investment Recommendations and Actions.
Standard IV (B.2b): Portfolio Investment Recommendations and Actions.
Standard IV (B.2c): Portfolio Investment Recommendations and Actions.
Standard IV (B.2d): Portfolio Investment Recommendations and Actions.
Standard IV (B. 3): Fair Dealing.
Standard IV (B. 4): Priority of Transactions.
Standard IV (B. 5): Preservation of Confidentiality.
Standard IV (B. 6): Prohibition against Misrepresentation.
Standard IV (B. 7): Disclosure of Conflicts to Clients and Prospects.
Standard IV (B. 8): Disclosure of Referral Fees.
Standard V: Relationships with and Responsibilities to the Investing Public
Standard V (A): Prohibition against the use of Material Nonpublic Information.
Standard V (B): Performance Presentation.
Global Investment Performance Standards
ICFA Bylaws - Article 10
Rules of Procedure for Proceedings Related to Professional Conduct
The Work of the SEC
Fiduciary Duties
CFA INSTITUTE Soft Dollar Standards

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