Standards of Practice Handbook

✍ Scribed by CFA Institute

Publisher: CFA Institute
Year: 2005
Tongue: English
Leaves: 181
Edition: 9th
Category: Library

No coin nor oath required. For personal study only.

✦ Synopsis

The ninth edition of the Handbook contains the Code of Ethics and Standards of Professional Conduct, commentary and interpretation of the Code and Standards with examples illustrating application of the Standards in the day-to-day professional activities of members and candidates, and a self-administered Standards of Practice examination with commentary. The ninth edition provides guidance on the Code and Standards that are effective 1 January 2006.

✦ Table of Contents

Standards of Practice Handbook, Nineth Edition 2005......Page 1
Copyright......Page 2
Table of Contents......Page 3
Ethics in the Investment Profession......Page 5
Summary of Changes......Page 6
Standards of Practice Handbook......Page 8
CFA Institute Professional Conduct Program......Page 9
Acknowledgements......Page 10
The Code of Ethics......Page 13
III. DUTIES TO CLIENTS......Page 14
IV. DUTIES TO EMPLOYERS......Page 15
VI. CONFLICTS OF INTEREST......Page 16
VII. RESPONSIBILITIES AS A CFA INSTITUTE MEMBER OR CFA CANDIDATE......Page 17
Guidance......Page 19
Recommended Procedures for Compliance......Page 22
Application of the Standard......Page 24
Guidance......Page 27
Recommended Procedures for Compliance......Page 31
Application of the Standard......Page 32
Guidance......Page 37
Recommended Procedures for Compliance......Page 39
Application of the Standard......Page 40
Guidance......Page 45
Application of the Standard......Page 46
Guidance......Page 49
Recommended Procedures for Compliance......Page 52
Application of the Standard......Page 55
Guidance......Page 61
Application of the Standard......Page 62
Guidance......Page 65
Recommended Procedures for Compliance......Page 67
Applications......Page 69
Guidance......Page 73
Recommended Procedures for Compliance......Page 75
Applications......Page 78
Guidance......Page 81
Recommended Procedures for Compliance......Page 83
Applications......Page 84
Recommended Procedures for Compliance......Page 87
Applications......Page 88
Guidance......Page 91
Applications......Page 92
Guidance......Page 95
Applications......Page 97
Applications......Page 103
Guidance......Page 105
Recommended Procedures for Compliance......Page 106
Applications......Page 108
Guidance......Page 111
Recommended Procedures for Compliance......Page 112
Application of the Standard......Page 113
Guidance......Page 117
Application of the Standard......Page 119
Recommended Procedures for Compliance......Page 123
Application of the Standard......Page 124
Guidance......Page 125
Applications......Page 128
Guidance......Page 133
Recommended Procedures for Compliance......Page 134
Applications......Page 136
Applications......Page 139
Application of the Standard......Page 143
Guidance......Page 147
Application of the Standard......Page 151
Standards of Practice Examination......Page 155
Exam Answers and Analysis......Page 164
Index......Page 171

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