The code of ethics

msk2222's version from 2018-01-14 18:00

Section 1

Question Answer
Act withintegrity, competence, diligence and respect in an ethical manner with public, clients,employers, colleagues and others in GCM
Place integrityof investment profession and interests of clients above their own
usereasonable care and exercise independent orofessional judgement when conducting investment analysis, making recommendations, taking investment actions, engaging in other professional activities
practice and encourageothers in practice in a professional and ethical manner that will reflect credit on themselves and the profession
promoteintegrity and viability of GCM for ultimate benefit of society
maintain and improveprofessional competence and strike to maintain and improve the competence of other investment professional

Section 2

Question Answer
Standards of professional conductprofessionalism; integrity of capital markets, duties to clients; duties to employers; investment analysis recommendations and actions; conflicts of interest; responsibilities
professionalismknowledge of law; independence and objectivity; misrepresentation; misconduct
Integrity of capital marketsmaterial non public information; market manipulation
duties to clientsloyalty,prudence and care; fair dealing;suitability; performance presentation; preservation of confidentiality
duties to employersloyalty; additional compensation arrangements, responsibilities of supervisors
investment analysis, recommendations and actionsdiligence-in analysis reasonable-research and investigate; communication with clients; record retention
conflicts of interestdisclosure of conflicts; priority of transactions; referral fees
responsibilities as a memberconduct and reference