This presentation provides a primer for CFA Institute Standard of Professional Conduct III(C): Suitability. The video conveys the key concepts of the standard, recommended compliance practices, and provides case studies to allow users to practice applying the standard to real world scenarios. The concepts covered include advisory relationship, broker relationship, client objectives, client experience, client risk tolerance, client financial constraints, investment mandate, use of leverage, changed circumstances, total portfolio, diversification, investment policy statement, and client directed trades.
This video is part of the 22 video series covering each of the Standards of Professional Conduct.
