A)

act with integrity, competence, diligence, respect, and in an ethical manner when dealing with the public, clients, prospective clients, employers, employees, colleagues in the investment profession, and other participants in the global capital markets.

B)

maintain knowledge and comply with all applicable laws, rules and regulations.

C)

exercise diligence and thoroughness in making investment recommendations or in taking investment actions.

D)

preserve the confidentiality of information communicated by clients, prospects, or employers concerning investment matters.