MTA Code of Ethics - Chartered Market Technician^SM

Certified Financial Planners | Investment Advisors | Retirement Planning Specialists

The Market Technicians Association has established ethical standards of professional conduct which every Member and Affiliate shall maintain. The Ethical Standards set forth in 1 through 8 serve as a guide of professional responsibility and a benchmark for ethical judgment.

Members and Affiliates shall maintain at all times the highest standards of professional competence, integrity and judgment.

This ethical standard requires strict compliance with the applicable laws and regulations of any government, governmental agency and regulatory organization which has jurisdiction over the professional activities of Members and Affiliates.

This same ethical standard requires that Members and Affiliates abide by the Constitution and By-Laws of the Association, and all rules promulgated by its Board of Governors. Members and Affiliates shall not unduly exploit their relationship with the Association for commercial purposes, nor use, or permit others to use, Association mailing lists for other than Association purposes.

Members and Affiliates shall not publish or make statements which they know or have reason to believe are inaccurate or misleading. Members and Affiliates shall avoid leading others to believe that their technically-derived views of future security price behavior reflect foreknowledge rather than estimates and projections subject to reexamination and, as events may dictate, to change.
Members and Affiliates shall not publish or make statements concerning the technical position of a security, a market or any of its components or aspects unless such statements are reasonable and consistent in light of the available evidence and of the accumulated knowledge in the field of financial technical analysis. New methods of technical analysis and modifications of existing concepts and techniques shall be fully documented as to procedure and rationale. Proprietary methods shall not be infringed, but this standard shall be a guide in the creation of proprietary products.
Members and Affiliates shall not publish or make statements which indefensibly disparage and discredit the analytical work of others.
Members and Affiliates shall not seek, disseminate or act on the basis of material, non-public (inside) information, if to do so would violate the laws and regulations of any government, governmental agency and regulatory organization relating to the use of inside information.
Members and Affiliates shall keep in confidence knowledge concerning the lawful private affairs of both past and present clients, employers, and employer's clients.
When a Member or Affiliate recommends that a security ought to be bought, sold or held, adequate opportunity to act on such a recommendation shall be given to the Member's or Affiliate's clients, employer, and the employer's clients before acting on behalf of either the Member's or Affiliate's own account or the accounts of immediate family members.
Members and Affiliates shall not copy or deliberately use substantially the same language or analysis contained in reports, studies or writings prepared by any author unless permission to do so is received, in advance, from the author. In the event the original author is deceased, or is otherwise unavailable to grant such permission, Members and Affiliates must ensure that the original author receives prominent and adequate credit for the original work.

Amended June 1994

Company
BCA Profile | Contact BCA | Site Map / Directory | BCA Home Page

Brian R. Carruthers & Associates

BCA | A Fee-Only Registered Investment Advisory Firm Since 1990

301 Forest Avenue · Laguna Beach, California 92651-2115 USA
Telephone: 1-949-464-1900 · Facsimile: 1-949-464-1400 · Contact

CFP^®, Certified Financial Planner™ and are certification marks owned by the Certified Financial Planner Board of Standards, Inc. These marks are awarded to individuals who successfully complete the CFP Board's initial and ongoing certification requirements.

CMT^SM and Chartered Market Technician^SM designations are awarded and permitted to use by full members of the MTA. The CMT Program is administered by the Accreditation Committee of the Market Technicians Association (MTA).

The National Association of Active Investment Managers is a professional organization of registered investment advisors who believe in active management of client assets to reduce the risk of down markets and to structure client portfolios to produce high risk adjusted returns.

This page last modified: 2009-05-17T10:33:42-0700

MTA Code of Ethics - Chartered Market TechnicianSM

MTA Code of Ethics - Chartered Market Technician^SM