A. Duties Owed to the Client (Standard of Conduct) Flashcards

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1
Q

A1 - Fiduciary Duty

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2
Q

A2 - Integrity

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3
Q

A3 - Competence

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4
Q

A4 - Diligence

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5
Q

A5 - Conflicts of Interest (Disclose/Manage)

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6
Q

A6 - Sound and Objective Professional Judgement

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7
Q

A7 - Professionalism

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8
Q

A8 - Comply with the Law

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9
Q

A9 - Confidentiality and Privacy

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10
Q

A10 - Provide Information to a Client

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11
Q

A11 - Communicating with Client

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12
Q

A12 - Duties with Representing Compensation

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13
Q

A13 - Recommending, Engaging OR Working with Additional Persons

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14
Q

A14 - Selecting and Using Technology

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15
Q

A15 - Refrain from Borrowing or Lending Money and Commingling

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15
Q

A15 - Refrain from Borrowing or Lending Money and Commingling

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