Ethics Essentials
EasyFind each ethics term hidden in the grid. Selecting a word reveals the standard it maps to and a link to study it in depth.
10 terms · Choose how you want to study
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Study modes
- Word Search Hunt hidden terms in a grid, then unlock each definition.
- Flashcards Spaced-repetition recall — graded cards that resurface right before you forget.
- Quiz Multiple-choice practice in real exam format, with instant feedback.
Terms in this set
- Independence Maintaining objectivity by avoiding economic, employment, or personal relationships that could compromise judgment.
- Diligence Acting with reasonable care and a reasonable basis when conducting investment analysis, making recommendations, or taking action.
- Loyalty Acting in the employer's best interests and not depriving the employer of one's skills, knowledge, or business contacts.
- Fairness Dealing fairly and objectively with all clients when distributing recommendations, making decisions, or taking action.
- Disclosure Full and fair disclosure of any matter that could reasonably be expected to impair independence, objectivity, or duties to clients.
- Confidentiality Keeping client information confidential unless the information concerns illegal activities, disclosure is required by law, or the client permits.
- Integrity Acting with integrity, competence, diligence, and respect to support the integrity of capital markets.
- Misconduct Professional conduct involving dishonesty, fraud, or deceit, or any act that reflects adversely on professional reputation, integrity, or competence.
- Plagiarism Use of another's ideas, language, or analysis without attribution — a violation of the Misrepresentation standard.
- Suitability Recommendations must be appropriate to the client's investment experience, risk tolerance, financial position, and objectives.