Show The CFA Institute Professional Conduct Program is covered by the CFA Institute Bylaws and the Rules of Procedure for Proceedings Related to Professional Conduct. The Program is based on the principles of fairness of the process to members and candidates and maintaining the confidentiality of the proceedings. The Disciplinary Review Committee of the CFA Institute Board of Governors has overall responsibility for the Professional Conduct Program and enforcement of the Code of Standards. The CFA Institute Professional Conduct staff conducts inquiries related to professional conduct. Several circumstances can prompt such an inquiry :
The Professional Conduct staff may decide : (1) that no disciplinary sanctions are appropriate, (2) to issue a cautionary letter, or (3) to discipline the member or candidate. In a case where the Professional Conduct staff finds a violation has occurred and proposes a disciplinary sanction, the member or candidate may accept or reject the sanction. If the member or candidate chooses to reject the sanction, the matter will be referred to a disciplinary review panel of the CFA Institute members for a hearing. Sanctions imposed may include condemnation by the member’s peers or suspension of candidate’s continued participation in the CFA Program. B. State the six components of the Code of Ethics and the seven Standards of Professional Conduct : Code of Ethics Members of the CFA Institute (including CFA charterholders) and candidates for the CFA designation must :
I : Professionalism C. Explain the ethical responsibilities required by the Code and Standards, including the sub-sections of each Standard : Standards of Professional Conduct I -
VI - Conflicts of Interest
Follow this link to next chapter : Follow this link to Summary. What is the CFA code of ethics and standards of Professional Conduct?THE CODE OF ETHICS
Act with integrity, competence, diligence, respect and in an ethical manner with the public, clients, prospective clients, employers, employees, colleagues in the investment profession, and other participants in the global capital markets.
Does CFA have an ethics Code?As a CFA Institute member, CFA Program candidate, or CIPM Program candidate, you are required to follow the CFA Institute Code of Ethics and Standards of Professional Conduct (Code and Standards).
Which of the following concepts does the CFA Institute code of ethics include?These concepts include integrity, competence, diligence, respect, reasonable care, and prudent judgment.
What are the code of ethics and Professional Conduct?A code of ethics and professional conduct outlines the ethical principles that govern decisions and behavior at a company or organization. They give general outlines of how employees should behave, as well as specific guidance for handling issues like harassment, safety, and conflicts of interest.
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