Standard 1: Professionalism Flashcards

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1
Q

A. Knowledge of the Law

A
  • Understand and comply with all applicable laws, rules, and regulations (including the Code of Ethics and Standards of Professional Conduct
  • In the event of conflict, comply with the more strict law, rule, or regulation.
  • Do not knowingly participate or assist in any violation of such laws, rules, or regulations.
  • Dissociate from any violation of such laws, rules, or regulations.
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2
Q

B. Independence and Objectivity

A
  • Use reasonable care and judgment to achieve and maintain independence and objectivity in their professional activities.
  • Do not offer, solicit, or accept any gift, benefit, compensation, or consideration that reasonably could be expected to compromise their own or another’s independence and objectivity.
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3
Q

C. Misrepresentation

A
  • Do not knowingly make any misrepresentations relating to investment analysis, recommendations, actions, or other professional activities.
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4
Q

D. Misconduct

A
  • Do not engage in any professional conduct involving dishonesty, fraud, or deceit or commit any act that reflects adversely on their professional reputation, integrity, or competence.
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