Code of Ethics
What Does the Code and Standards Cover?
The Code of Ethics maintains that you must:
- Place the integrity of the profession and the interests of clients above your own interests
- Act with integrity, competence, and respect
- Maintain and develop your professional competence
The Standards of Professional Conduct cover:
- Professionalism and integrity of the capital markets
- Duties to clients and employers
- Investment analysis and recommendations
- Conflicts of interest and your responsibilities
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