Critical Concepts Flashcards
1
Q
I
A
Professionalism
2
Q
IA
A
Knowledge of the Law
3
Q
IB
A
Independence and Objectivity
4
Q
IC
A
Misrepresentation
5
Q
ID
A
Misconduct
6
Q
II
A
Integrity of Capital Markets
7
Q
II A
A
Material Nonpublic Information
8
Q
II B
A
Market Manipulation
9
Q
III
A
Duties to Clients
10
Q
III A
A
Loyalty, Prudence, Care
11
Q
III B
A
Fair Dealing
12
Q
III C
A
Suitability
13
Q
III D
A
Performance Presentation
14
Q
III E
A
Preservation of Confidentiality
15
Q
IV
A
Duties to Employers
16
Q
IV A
A
Loyalty
17
Q
IV B
A
Additional Compensation Arrangements
18
Q
IV C
A
Responsibilities of Supervisors
19
Q
V
A
Investment Analysis, Recommendations, and Actions
20
Q
V A
A
Loyalty
21
Q
V B
A
Communication with clients and prospective clients
22
Q
V C
A
Record Retention
23
Q
VI
A
Conflicts of Interest
24
Q
VI
A
Conflicts of Interest
25
VI A
Disclosure of Conflicts
26
VI B
Priority of Transactions
27
VI C
Referral Fees
28
VII
Responsibilities as a CFA institute Member of CFA Candidate.
29
VII A
Conduct as Members and Candidates in the CFA Program
30
VII B
Reference to CFA Institute, the CFA Designation, and the CFA program.
31
Compliance Statement, GIPS:
"[Insert Name of Firm] has prepared and presented this report in compliance with the Global Investment Performance Standards." Compliance must be applied on a firm-wide basis.
32
Nine Sections, GIPS:
Fundamentals of compliance, input data, calculation methodology, composite construction, disclosures, presentation and reporting, real estate, private equity, and wrap fee/separately managed account portfolios.
