B. Specific Key Principles
Investment analysts shall:
B.1 Have a reasonable basis for, and provide fair representation in, their investment
research, recommendations, and investment management.
B.2 Assess the appropriateness of an investment recommendation or investment
action for their clients and prospective clients.
B.3 Accurately present all relevant facts to avoid any misrepresentation as to their
professional services.
B.4 Take all necessary steps to avoid conflicts of interest that could reasonably
be expected to impair their independence and objectivity.
B.5 Not accept compensation that could reasonably be expected to impair their
independence and objectivity.
B.6 Deal fairly with all clients and prospective clients when disseminating investment
recommendations and taking investment actions.
B.7 Whilst in the possession of material non-public information relating to
issuers of financial instruments, not trade on, or communicate to others,
such information, or use such information in investment analysis.
B.8 Use their qualifications with due care so as to enhance the standing of and
confidence in such qualifications and their related associations.
B.9 Preserve the confidentiality of information about clients and prospective
clients.