Lecture D - Standard IV Duties to Employers
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Members and candidates must act for the benefit of their employer, not deprive them of skills/abilities or divulge confidential information. They cannot accept gifts or compensation that conflict with the employer's interests without consent. Members must make reasonable efforts to ensure anyone under their supervision complies with applicable laws, rules, regulations, and the Code and Standards.
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Lecture D - Standard IV Duties to Employers
- 1. Standard IV Duties to Employers 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. Standard IV - Duties to Employers Loyalty Additional Compensation Arrangements Responsibilities of Supervisors
- 4. Standard IV (A) - Loyalty • In matters related to their employment, Members and Candidates must act for the benefit of their employer and not deprive their employer of the advantage of their skills and abilities, divulge confidential information, or otherwise cause harm to their employer.
- 5. Standard IV (B) - Additional Compensation Arrangements • Members and Candidates must not accept gifts, benefits, compensation, or consideration that competes with or might reasonably be expected to create a conflict of interest with their employer’s interest unless they obtain written consent from all parties involved.
- 6. Standard IV (C) - Responsibilities of Supervisors •Members and Candidates must make reasonable efforts to ensure that anyone subject to their supervision or authority complies with applicable laws, rules, regulations, and the Code and Standards.