Standard V – Investment Analysis, Recommendations, and Actions

This standard has two parts:

A. Diligence and Reasonable Basis

This standard states that the member must exercise diligence, independence, and thoroughness while analyzing investments, making recommendations, and taking investment actions.

The member must also have a reasonable basis supported by research and investigation for investment analysis, recommendations, and actions.

B. Communication with Clients and Prospective Clients

This standard states that the members disclose their investment processes to clients and prospective clients. This includes information such as formats, investment principles, and changes in the processes, etc.

The members should reasonably identify the important factors affecting their investment processes and communicate them to their clients.

The members while presenting investment analysis to clients should distinguish between facts and opinions.

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