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Lecture B - Standard II Integrity of Capital Markets

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

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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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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.