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.
If you want to change selection, open original toplevel document below and click on "Move attachment"
Summary
| status | not read | | reprioritisations | |
|---|
| last reprioritisation on | | | suggested re-reading day | |
|---|
| started reading on | | | finished reading on | |
|---|
Details