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Unformatted text preview: Standard of Practice Handbook- The Handbook is the fundamental element of the ethics education effort of the CFA Institute and the primary resource for guidance in interpreting and implementing the code and standards. Professional Conduct Program- What prompts an inquiry o Members and candidates self-disclose. o Written complaints received by Professional Conduct Staff. o CFA institute staff becomes aware of questionable conduct. o CFA Examination Proctors.- Process o Professional Conduct staff conducts an investigation. o The designated officer upon reviewing may issue no disciplinary action, issue a cautionary letter, or continue proceedings to discipline the member or candidate. o If violation is found, a disciplinary sanction is issued by the designated officer. o Candidate or member can accept or reject the sanction. o If member or candidates reject the sanction, the matter is referred to a hearing by panel of CFA Institute members. Code of Ethics- Act with integrity, competence, diligence, respect and in an ethical manner with everybody.- Place the integrity of the investment profession and the interest of the clients above their own personal interest. - Use reasonable care and exercise professional judgment when conducting investment analysis, making investment recommendations, taking investment actions, and engaging in other professional activities....
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This note was uploaded on 02/25/2012 for the course BLAW 1310 taught by Professor Hale during the Fall '11 term at Texas State.
- Fall '11