CFA Level 3
, CFA Level 3
Professionalism tenents (KIMM)? - Answer: -Knowledge of the law
-Independence and objectivity
-Misrepresentation
-Misconduct
Integrity of capital markets tenents? - Answer: -Material non-public information
-Market manipulation
Duties to clients are? - Answer: -Loyalty, prudence and care
-Fair dealing
- Suitability
-Performance presentation
-Preservation of confidentially
Duties to employers? - Answer: -Loyalty
, CFA Level 3
-Additional compensation arrangements
-Responsibilities of supervisors
Investment analysis, recommendations and actions tenents? - Answer: -Diligence
and reasonable care
-Communication with clients and prospective
clients
-Record retention
Conflicts of interest in CFA world? - Answer: -Disclosure of conflicts
-Priority of transactions
-Referral fees
Asset manager code is? - Answer: -Outlines ethical & professional rules of firm
that manage assets on behalf of clients
Asset manager code goals? - Answer: - provide services in a fair and professional
manner
- disclose key elements of those services to clients
, CFA Level 3
Asset manager code advantages? - Answer: -Sends strong message on ethics
-Demonstrates commitment to ethical behaviour
and protecting investors
-Enhances and protects firm's reputation
-Develops client trust and confidence
General "principals of conduct"? - Answer: -Act in professional and ethical manner
at all times
-Act for the benefit of the client
-Act with independence and objectivity
-Act with skill, competence, and diligence
-Communicate with clients in a timely and accurate
manner
-Uphold the applicable rules governing capital
markets
, CFA Level 3
Professionalism tenents (KIMM)? - Answer: -Knowledge of the law
-Independence and objectivity
-Misrepresentation
-Misconduct
Integrity of capital markets tenents? - Answer: -Material non-public information
-Market manipulation
Duties to clients are? - Answer: -Loyalty, prudence and care
-Fair dealing
- Suitability
-Performance presentation
-Preservation of confidentially
Duties to employers? - Answer: -Loyalty
, CFA Level 3
-Additional compensation arrangements
-Responsibilities of supervisors
Investment analysis, recommendations and actions tenents? - Answer: -Diligence
and reasonable care
-Communication with clients and prospective
clients
-Record retention
Conflicts of interest in CFA world? - Answer: -Disclosure of conflicts
-Priority of transactions
-Referral fees
Asset manager code is? - Answer: -Outlines ethical & professional rules of firm
that manage assets on behalf of clients
Asset manager code goals? - Answer: - provide services in a fair and professional
manner
- disclose key elements of those services to clients
, CFA Level 3
Asset manager code advantages? - Answer: -Sends strong message on ethics
-Demonstrates commitment to ethical behaviour
and protecting investors
-Enhances and protects firm's reputation
-Develops client trust and confidence
General "principals of conduct"? - Answer: -Act in professional and ethical manner
at all times
-Act for the benefit of the client
-Act with independence and objectivity
-Act with skill, competence, and diligence
-Communicate with clients in a timely and accurate
manner
-Uphold the applicable rules governing capital
markets
