Critical Concepts Flashcards
I
Professionalism
IA
Knowledge of the Law
IB
Independence and Objectivity
IC
Misrepresentation
ID
Misconduct
II
Integrity of Capital Markets
II A
Material Nonpublic Information
II B
Market Manipulation
III
Duties to Clients
III A
Loyalty, Prudence, Care
III B
Fair Dealing
III C
Suitability
III D
Performance Presentation
III E
Preservation of Confidentiality
IV
Duties to Employers
IV A
Loyalty
IV B
Additional Compensation Arrangements
IV C
Responsibilities of Supervisors
V
Investment Analysis, Recommendations, and Actions
V A
Loyalty
V B
Communication with clients and prospective clients
V C
Record Retention
VI
Conflicts of Interest
VI
Conflicts of Interest
VI A
Disclosure of Conflicts
VI B
Priority of Transactions
VI C
Referral Fees
VII
Responsibilities as a CFA institute Member of CFA Candidate.
VII A
Conduct as Members and Candidates in the CFA Program
VII B
Reference to CFA Institute, the CFA Designation, and the CFA program.
Compliance Statement, GIPS:
“[Insert Name of Firm] has prepared and presented this report in compliance with the Global Investment Performance Standards.” Compliance must be applied on a firm-wide basis.
Nine Sections, GIPS:
Fundamentals of compliance, input data, calculation methodology, composite construction, disclosures, presentation and reporting, real estate, private equity, and wrap fee/separately managed account portfolios.
