Recent Articles

Standard VI – Conflicts of Interest

This standard has three parts: A. Disclosure of Conflicts This standard states that the members must make full and fair disclosures of all matter that could give rise to a conflicting situation with clients or employers, for example, any act that could interfere with...

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Standard IV – Duties to Employers

This standard has three parts: A. Loyalty This standard states that the members must always act in favor of their employer, and works towards benefiting their employers. They should not indulge in activity that could harm their employer. B. Additional Compensation...

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Standard III – Duties of Clients

This standard has 5 parts: A. Loyalty, prudence, and Care Members have a duty of loyalty to their clients and must act with reasonable care and exercise prudent judgment. Members and Candidates must act for the benefit of their clients and place their clients’...

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Standard II – Integrity of Capital Markets

The second standard, integrity, has two sub-parts: A. Material Non-public Information The Members and Candidates who possess material nonpublic information that could affect the value of an investment must not act or cause others to act on the information. B. Market...

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