CFA handbook.xls


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Standards of Professional Conduct
Contents

Professionalism Knowledge of the Law Members and Candidates must understand ply with all applicable laws, rules, and regulations(including the CFA Institute Code of Ethics and Standards of Professional Conduct) of any government, anization, licensing agency, or professional association governing their professional activities. In the event of conflict, members and candidates must not knowingly participate or assist in and must dissoiciate from any violation of such laws, rules, or regulations.
Independence and Objectivity Members and Candidates must use reasonable care and judgment to achieve and maintain independence and objectivity in their professional activities. Members and candidates must not offer, solicit, or accept any gift, benefit, compensation, or consideration that reasonably could be expected promise their own or another's independence and objectivity.
Misrepresentation Members and candidates must not knowingly make any misrepresentations relating to investment analysis, reconmmendations, actions, or other professional activities.
Misconduct Members and candidates must not engage in any professional conduct involving dishonesty, fraud, or deceit mit any act that reflects adversely on their professional reputation, integrity, petence.
Integrity of Capital Market Material Nonpublic Information Members and c

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  • 页数7
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  • 时间2018-09-24