Standards of professional conduct
2018-05-23 13:22:55 1 举报
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Flowchart for Standards of professional conduct
作者其他创作
大纲/内容
Disclosure of ConflictsPriority to TransactionsReferral Fees
Conflicts of interest
Responsibilities as members
Duties to employers
LoyaltyAdditional compensation arrangementResponsibilities of Supervisors
Professionalism
Diligence and Reasonable BasisCommunication with Clients and prospective ClientsRecord Retention
Investments
Duties to clients
Standards
Material nonpublic informationMarket manipulation
Knowledge of LawsIndependence and objectivityMisrepresentationMisconduct
Integrity of capital markets
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