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Cisi UK Regulation > CISI Code of Conduct > Flashcards

CISI Code of Conduct Flashcards

1
Q

What is the CISI Code of Conduct 1?

A

Personal Accountability - Uphold highest levels of personal and professional standards at all time, acting with integrity, honesty, due skill, care and diligence to avoid damaging reputation of your firm or profession.

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2
Q

Who does The CISI code of Conduct 1 affect?

A

Self, clients, regulators, colleagues, market, participants, firms, society

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3
Q

What is the CISI Code of Conduct 2?

A

Put the interests of clients and customers first by treating them fairly, being a good steward of their interest, respect confidentiality.

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4
Q

Who does the CISI code of Conduct 2 affect?

A

Clients

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5
Q

What is the CISI Code of Conduct 3?

A

Conflict of Interest - Being alert to and actively manage fairly and effectively, any personal or other conflict of interest; obey the law and regulations

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6
Q

Who does the CISI Code of Conduct 3 affect?

A

Clients, market participants, regulators

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7
Q

What is the CISI Code of Conduct 4?

A

Respect for Market Partners - treat all counterparties and business partners with respect, observe proper standards of market integrity and conduct.

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8
Q

Who is affected by the CISI Code of Conduct 4?

A

Clients & Market Participants

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9
Q

What is the CISI Code of Conduct 5?

A

Professional Development - Strive continually for professional excellence, commit to CPD, promote and support the development of others.

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10
Q

Who is affected by the CISI Code of Conduct 5?

A

Profession, clients, colleagues

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11
Q

What is the CISI Code of Conduct 6?

A

Aware of Capabilities - Decline to act on any matter of which you are not competent or qualifies, unless you have access to advice or assistance

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12
Q

Who is affected by the CISI Code of Conduct 6?

A

Clients, profession, market participants

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13
Q

What is the CISI Code of Conduct 7?

A

Respect others and the environment - treat everyone fairly and with respect, support opportunity for all, embrace diversity and inclusion, ensure the environmental impact of your work is considered.

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14
Q

Who is affected by CISI Code of Conduct 7?

A

Society., colleagues, clients. regulators, market participants. profession. professional bodies.

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15
Q

What is the CISI Code of Conduct 8?

A

Speak up and Listen Up - Be active in speaking up, and encourage ithers to do so by listening up, promote safe environment for all.

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16
Q

Who is affected buy the CISI Code of Conduct 8?

A

Society and colleagues

Cisi UK Regulation (6 decks)

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