Code of Ethics

Question 1

1

Answer 1

Act with integrity, competence, diligence, respect, and in an ethical manner with the public,
clients, prospective clients, employers, employees, colleagues in the investment profession,
and other participants in the global capital markets.

Question 2

2

Answer 2

Place the integrity of the investment profession and the interests of clients above their own
personal interests

Question 3

3

Answer 3

Use reasonable care and exercise independent professional judgment when conducting
investment analysis, making investment recommendations, taking investment actions, and
engaging in other professional activities.

Question 4

4

Answer 4

Practice and encourage others to practice in a professional and ethical manner that will
re

Question 5

5

Answer 5

Promote the integrity and viability of the global capital markets for the ultimate bene

Question 6

6

Answer 6

Maintain and improve their professional competence and strive to maintain and improve the
competence of other investment professionals