Ethics Flashcards
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| Standards of Professional Conduct</p>
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<ol> <li style="text-align: left;"> Professionalism</li> <li style="text-align: left;"> Integrity of Cpaital Markets</li> <li style="text-align: left;"> Duties to Clients</li> <li style="text-align: left;"> Duties to Employers</li> <li style="text-align: left;"> Investment Analysis , Recommendations & Actions</li> <li style="text-align: left;"> Conflicts of Interest</li> <li style="text-align: left;"> Responsibilities as a CFAI Member/ Candidate</li> </ol> <p>
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<p style="text-align: center;"> Mosaic Theory</p> <p> </p> <p>
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Analsyis are free to act upon large quantities of information from many sources (public/nonmaterial) even if those conclusiosn would have been material inside info had they been communicated directly</p>
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