Lecture B - Standard II Integrity of Capital Markets

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Professional Training Academy

CODE OF ETHICS - Lecture B - Standard II Integrity of Capital Markets

Education

Standard - II
Integrity of Capital
Markets
CMT LEVEL - I

Code of Ethics & Standards
Professionalism
Integrity of Capital
Markets
Duties to Clients
Duties to
Employers
Investment
Analysis,
Recommendations,
and Actions
Conflicts of Interest

Integrity of Capital Markets
Material Non
public
Information
Market
Manipulation

Standard II (A) - Material Non public Information
• 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.

Standard II (B) - Market Manipulation
• Members and Candidates must not
engage in practices that distort
prices or artificially inflate trading
volume with the intent to mislead
market participants.

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