Ethical and Professional Standards
Guidelines for behavior and decision-making in the financial industry.
Ethical and professional standards are principles that guide behavior and decision-making to maintain integrity in the financial industry. They include duties to clients, employers, capital markets, and competence standards.
5 minutes
5 Questions
Concepts covered: Code of Ethics and Standards of Professional Conduct, Application of the Code and Standards: Level III, Guidance for Standards I–VII, Overview of the Global Investment Performance Standards, Asset Manager Code of Professional Conduct
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