Cis Code of Ethics and Standards of Professional Practice

Code of Ethics and Standards of Professional Conduct CHARTERED INSTITUTE OF STOCKBROKERS Chartered By Act 105 of 1992 May 13, 2010 Code of Ethics and Standards of Professional Conduct for Stockbrokers These CIS Code of Ethics and Standards of Professional Conduct for Stockbrokers have been prepared by the Chartered Institute of Stockbrokers (CIS). CIS Code of Ethics and Standards of Professional Conduct shall apply, in its entirety, to all members except where a member is practising outside Nigeria. Where a member is practising outside Nigeria, the member must: (a) if he/she is a member of the local association in the jurisdiction of employment or practice (â€Å"Local Association†) and that Local Association is a Member Society of the†¦show more content†¦Investment Action is any activity in which Investment Professionals engage regarding securities, including the purchase and/or sale of securities for client, proprietary or personal accounts, the issuance of research reports, or any recommendation to purchase, sell or hold a security. Fiduciary Duty is the duty which is owed by a party who has a relationship of trust and confidence to another party. A person who has a fiduciary duty to another must act in the others best interest, must maintain the others trust and confidences, and must act with discretion. A fiduciary is held to a higher standard of care and higher degree of knowledge than the average person. Beneficial owner means someone who has: (a) a direct or indirect pecuniary interest in securities, regardless of whether or not the ownership of the said security is in the name of that person; or (b) the power to vote or direct the voting of shares of securities or investments; or (c) the power to dispose or direct the disposition of a security or investment. Associate means any related or affiliated party, or any person or entity that controls, is controlled by, or is under common control with an investment professional. As used in Standard 19.0, associate includes an investment professionals family members. Independence, as used in Standard 3.0 to refer to advic e given or investment action taken by an investment professional, means advice orShow MoreRelatedMozart Effect Field Research1740 Words   |  7 Pagesthat stirred up a lot of controversy. Their original study was first focused on college students, not infants or young children. They found that when these subjects listened to Mozart’s Sonato for Two Pianos in D Major K 448, their performance on standard IQ spatial reasoning tasks improved (Rauscher, Shaw, Ky, 1993). Much to their regret, this benefit lasted only 10 minutes. Follow up studies were done that verified their earlier results that temporary short-term spatial reasoning gains just fromRead MoreThe Five Factor Model2103 Words   |  9 PagesExternal Environment, Workforce, Organizational Culture and Structure, Organizational Strategy, and Technology of Production and Organization of Work (Baron Kreps, 1999). Lack of correspondence between any one of these factors can lead the firm’s CI practices to the fai lure. Figure 15.1 The Five-Factor model. (Source: Adapted from Baron Kreps [1999]). External Environment The External Environment component takes into consideration social, political, legal, and economicRead MoreIt Project Management Assessment1142 Words   |  5 PagesManagement Assessment Samii-Yumchin Enkhjargal Strayer University IT Project Management - CIS 517 Dr. Johnnie E.Drake INTRODUCTION Over the past few years, project managers and project management has grown tremendous growth. Project management has evolved over the past several years from an activity in an organization to a discipline in its own right. Many professional bodies exist today to represent project management as a discipline, some of which include, PMIRead MoreMed Tech Laws and Bioethics4250 Words   |  17 PagesPROFESSIONAL REGULATION COMMISSION What is PD 223? * The creation of the Professional Regulation Commission What is the date of approval? * June 22,1973 What amended PD 223? * PD 223 was amended by PD 657 What is RA 8981? * The PRC Modernization Act of 2000 What is the composition of the PRC? * One full-time Chairperson * Two full-time commissioners What are the qualifications of commissioner of PRC? * At least 40 years of age * Holding a valid certificate of registrationRead MoreGender Dysphoria and Gender Reassignment: Analysis of a Policy Issue3357 Words   |  14 Pagespolicy issues are closely tied to the lack of consensus on the ethical, professional, and social implications of the inclusion of Gender Dysphoria as a mental health diagnosis in the DSM-V (Ehrbar, 2010). Because there is little consensus across various stakeholders regarding the process of determining eligibility for gender reassignment surgeries many of these issues are extremely difficult to address. To those in the non-cis gender community this has created many layers of difficulty in accessingRead MoreQuit Smoking Case Study Essay4989 Words   |  20 Pagesand at home treatment. Also Health professionals should be allowed to motivate their patients to attempt and sustain cessation by offering encouragement, advice, and assistance. For patients who are not yet ready to attempt quitting, such advice can move them further toward that point. A willingness to help and to provide assistance is very important in motivating cigarette smokers in attempting to quit. The reassurance that a knowledgeable health professional stands ready to offer guidance and supportRead MoreThe Body Shop14072 Words   |  57 Pagescosmetics line with regard to its advertisements.   It never made use of famous celebrities nor supermodels to endorse its products.   Furthermore, the characteristics that its models posses are far from the stereotypical model or from the Western standards.   If we are to access the Body Shop International’s website, as cited in this paper, we will find out that these models are black.   From this we can derive that the pioneer of Body Shop ventures into something that is more than just business.   ThereRead MoreProject Management Ethical Issues3426 Words   |  14 PagesPROJECT MANAGEMENT ISSUES Melwin Fernandes 200083225 Ethics and Other Management Issues (CIS 485) Duncan Jeffries Project Management Issues What is Project Management? Project management  is the  discipline  of  planning,  organizing, and  managing  resources  to bring about the successful completion of specific project goals and objectives. It is often closely related to program management (Wikipedia). A  project  is a temporary endeavour, undertaken to meet particular goals and objectivesRead MoreMental Illness And Its Impact On Youth Essay3581 Words   |  15 Pages..................................................page 3 Definition.†¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦.....page 3 History and Statistics†¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦.page 5 Legislation and Policies†¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦page 7 Impacts on Young New Zealanders†¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦..page 9 In Practice†¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦..page 12 Reflection†¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦Ã¢â‚¬ ¦page 14 Image two: Introduction This report will first define what mental illness is, the distinctive characteristics that this illness places on this diverse population andRead MoreThe Components Of Effective Handwriting Interventions For Typical Primary School Age Children With Handwriting Difficulties?7616 Words   |  31 PagesCollaborative working and the Write Start Programme results in significant gains in legibility, speed, and fluency. 3. Case-Smith et al (2014) 80 students Ages 65-91 months A nonrandomized experimental design to compare the Write Start program with standard handwriting instruction for first-grade students. Outcome Measures: ETCH-M and Woodcock–Johnson Fluency and Writing Samples tests 45-min sessions, twice a week for 12 week period (24 sessions total). No between-group differences at post-test, however