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Applications of the Standards to research, trading, and client relationships

Ethical and professional standards · Lesson 3 of 4

Lesson 3 of 4

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Lesson 3 of 4 · Ethical and professional standards

Applications of the Standards to research, trading, and client relationships

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Evaluate practices in research, due diligence, use of information sources, and recommendation preparation for compliance with the Standards.
Apply the Standards to communications with clients and prospective clients, including disclosure of process, risks, limitations, and the basis for recommendations.

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Apply the Standards to situations involving suitability, return objectives, risk tolerance, investment constraints, and ongoing responsibilities in client relationships.

Evaluate conduct involving gifts, additional compensation arrangements, referral arrangements, and other conflicts of interest that affect objectivity or loyalty.

Determine appropriate actions, disclosures, supervisory procedures, and compliance controls when research, trading, or client-service activities create potential or actual violations.

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