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A. Loyalty, Prudence, and Care.
#analyst-notes #code-of-ethics-and-standards-of-professional-conduct #iii-duties-to-clients
  • Follow all the applicable laws and rules.
  • Establish the investment objectives of the client, taking into account:

    • The client's needs and circumstances.
    • The investment's basic characteristics.

  • Diversification. All portfolios should be diversified, unless the plan guidelines state otherwise.
  • Deal fairly with all clients.
  • Conflicts of interest. All conflicts must be disclosed.
  • Disclose compensation agreements.
  • Proxy solicitations. Proxies must be voted in the best interest of the beneficiaries.
  • Confidentiality. Members must maintain the confidentiality of their dealings at all times.
  • Best execution. The best execution that is reasonably available should be provided to all clients.
  • Loyalty - members must always act in the best interest of their clients.
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