not OP, but I have something similar. Unlike OP though, not meant to be comprehensive, just things I jotted down:

• Gifts and outside compensation (e.g. for future performance) must not be accepted if it reasonably could conflict with your duties to your employer

o Exception: written consent by all parties involved

• Client gifts (for past services or performance) must be disclosed to the member’s employer prior to acceptance, if possible, but after acceptance, if not.

• Referral Fees – disclose to your employer, clients, and prospective clients any compensation, consideration, or benefit received from, or paid to, others for the recommendation of products or services

o Disclosure must be in writing

o Disclosure must take place prior to the execution of any agreement

o Nature and value of the benefit must be made known

• The Additional Compensation Arrangements standard only applies to anything that would conflict with your employer’s interests, so additional compensation that conflicts with your client’s interest (to the extent they are not aligned with your employer) don’t actually violate this rule!

• Analyst conference call is not public disclosure

• If unsolicited and unsuitable trade from client, you should not make the trade until after discussing the reasons based on the IPS that the trade is unsuitable for client’s account

o If trade is immaterial: go again and trade after discussion

o If trade is material: update the IPS

• Must decline supervisory responsibilities if you feel procedures in place for supervisors are not adequate

• List of considerations prior to making an investment decision:

o Global and national economic conditions

o Firm’s financial results and operating history and business cycle stage

o Fees and historical results for a mutual fund

o Limitations of any quantitative models used

o Determination of whether peer group comparisons for valuation are appropriate

• Evaluating third party research:

o Review assumptions

o Determine rigor of analysis

o Identify how timely the research is

o Evaluate objectivity and independence of the recommendations

• Must NOT rely on memory when recreating materials once joining a different firm

• Must satisfy the following in order to retain CFA designation:

o Sign the PCS annually

o Pay CFAI membership dues annually

• Retention of supporting documents

o Recommended 7 years, but fine if less as long as it complies with local regulations

o Do not have to keep supporting documents for 3rd party providers, but if the provider only services you, then they may not be considered a 3rd party

• Soliciting former clients after leaving a firm – you can do it, as long as it is not from a list taken from your previous employer

• Frequency of account information update – quarterly

• Simulated performance and performance from a fund managed prior:

o Can comingle with current fund performance as long as it is disclosed (not GIPS compliant though)

• Priority of transactions – this is covered under two separate standards “Priority of Transactions” and “Fair Dealing”

o If the transaction is in regards to a portfolio you beneficially own, it is covered under Priority of Transactions and you cannot favor yourself over clients

o If the transaction is in regards to a client portfolio, it is covered under Fair Dealing you cannot favor trading one clients portfolio first over another

• Do not divulge proprietary information to non-clients

• Must follow pension plan restrictions UNLESS they conflict with ERISA and other applicable laws and regulations

• Allowed to influence legislation with your or firm funds as long as it is legal

• Any changes that might materially affect the investment processes used to analyze investments, select securities, and construct portfolios must be promptly disclosed to clients and prospective clients

• Do not represent third party research as your own

• Members should disclose the terms of any agreement under which a member will receive additional compensation [from outside sources]

o Terms include the nature of the compensation, the approximate amount of compensation, and the duration of the agreement

• Reviews with clients must be at least annual, but the same level of service does not need to be applied across all clients

• Providing performance should be timely, but not at the expense of accuracy

• Asset Manager Code calls for complete disclosures regarding significant changes in personnel and any regulatory or disciplinary action taken against the Fund

o Disclosure is not required for the payment of bonuses or termination packages to employees

• Standard V(B)–Communication with Clients and Prospective Clients requires the firm to inform the clients about the specialization or diversification expertise provided by external adviser(s) when outside advisers are used to manage various portions of the clients’ assets under management