Lecture B - Standard II Integrity of Capital Markets
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23. Mar 2023•0 gefällt mir•12 views
Lecture B - Standard II Integrity of Capital Markets
23. Mar 2023•0 gefällt mir•12 views
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CODE OF ETHICS - Lecture B - Standard II Integrity of Capital Markets
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Lecture B - Standard II Integrity of Capital Markets
- 1. Standard - II Integrity of Capital Markets CMT LEVEL - I
- 2. Code of Ethics & Standards Professionalism Integrity of Capital Markets Duties to Clients Duties to Employers Investment Analysis, Recommendations, and Actions Conflicts of Interest
- 3. Integrity of Capital Markets Material Non public Information Market Manipulation
- 4. 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.
- 5. 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.