“CODE OF ETHICS AND STANDARDS OF PROFESSIONAL CONDUCT” M&C = Members & Candidates COE = Code of Ethics SOPC = Standards of Professional conduct BOG=Board of Governors PDP=Professional
Trang 12018 Study Session # 1, Reading # 1
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“CODE OF ETHICS AND STANDARDS
OF PROFESSIONAL CONDUCT”
M&C = Members & Candidates
COE = Code of Ethics
SOPC = Standards of
Professional conduct
BOG=Board of Governors
PDP=Professional Development
Program
CFAI = CFA Institute PCP = Professional Conduct Program
DRC = Disciplinary Review Committee
PCS = Professional Conduct Statement
Los1.a
Professional Conduct
PCP is based on principles of fairness to M&C& confidentiality of proceedings
Circumstances Which Can Prompt Inquiry
comprehensively questions professional conduct such as involvement in civil litigation, criminal investigation or any complaint (written) against the member/candidate etc
conduct staff
conduct staff through public source
member/candidate & may:
Collect relevant documents& records
accept the sanction
Los1.b
employers, employees, colleagues’ in the investment profession, and other participants in the global capital markets
recommendations, taking investment actions, and engaging in other professional activities
profession
professionals
Trang 22018 Study Session # 1, Reading # 1
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Standards of Professional Conduct
Recommendations& Actions
2 Integrity of Capital Markets
3 Duties to Clients
A Loyalty, Prudence, and Care
C Suitability
Confidentiality
D Performance Presentation
4 Duties to Employers
Arrangements
C Responsibility of Supervisors
5 Investment Analysis, Recommendations& Actions
A Diligence & Reasonable
Basis
B Communication with Clients & prospective Clients
C Record Retention
6 Conflicts of Interest
7 Responsibilities as a CFAI Member or CFAI Candidate
A Conduct as Members and Candidates in
the CFA Program
B Reference to CFA Institute, the CFA Designation, and the CFA Program