FINS1612 Lecture Notes - Lecture 6: Cfa Institute, Epicenter, Performance Measurement
Monday, 24 April 2017
Capital Markets & Institution
Ethics
-A set of guiding moral principle behaviours
-Ethical behaviour - refers to behaviour that conforms to those values
-CFA Code of Ethics:
•Act with integrity, competence, diligence, respect & in an ethical manner
•Place integrity of investment profession & interests of clients above personal
interests
•Use reasonable care & exercise independent professional judgment
•Promote integrity of & uphold rules governing of, capital markets
-Professionalism:
•Knowledge of the Law
-As investment professional, conduct determined by government & regulatory
agencies, licensing agencies & professional associations
-As member of CFA Institute you must:
•Understand & comply with all applicable laws
•Comply with stricter of applicable law or Code of Standards
•Not knowingly participate in any violation
•Dissociate from any violation
•Independence & Objectivity
-Maintain professional integrity by remaining independent & objective
-Avoid compromising your own, or another’s independence or objectivity
-May be compromised by receipt of gifts, invitations to lavish events, tickets,
favours, job referrals & additional compensation
•Misrepresentation
-Must not knowingly make any misrepresentations relating to investment
analysis, recommendations, actions, or other professional activities
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find more resources at oneclass.com
find more resources at oneclass.com
Document Summary
A set of guiding moral principle behaviours. Ethical behaviour - refers to behaviour that conforms to those values. As investment professional, conduct determined by government & regulatory agencies, licensing agencies & professional associations. As member of cfa institute you must: understand & comply with all applicable laws, comply with stricter of applicable law or code of standards, not knowingly participate in any violation, dissociate from any violation, independence & objectivity. Maintain professional integrity by remaining independent & objective. Avoid compromising your own, or another"s independence or objectivity. May be compromised by receipt of gifts, invitations to lavish events, tickets, favours, job referrals & additional compensation: misrepresentation. Must not knowingly make any misrepresentations relating to investment analysis, recommendations, actions, or other professional activities. Misrepresentation - any untrue statement or omission of a fact or any statement. Monday, 24 april 2017 that is otherwise false or misleading.
