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IMC > Chapter 2 > Flashcards

Chapter 2 Flashcards

1
Q

ethics vs regulation

A

ethics - principles

regulation - compliance, rules

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2
Q

cfa code of ethics

A

Professionalism
Integrity of capital markets
Duties to clients
Duties to employees
Investment analysis, recommendations and actions
Conflicts of interest
Responsibilities of CFA members and candidates

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IMC (9 decks)

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