2019 finquiz CFA level II smart summaries
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2019 finquiz CFA level II smart summaries
2019, Study Session ft 1, Reading ft 1"CODE OF ETHICS AND STANDARDS OF PROFESSIONAL CONDUCT” ILos 1.3M&c = Members & Candidates COE-Code of Ethics SOP 2019 finquiz CFA level II smart summaries PC = Standards of Professional conduct BOG-Board of Governors PDP-Professional Development ProgramCFAlPCP => covered by CFAI Bylaws & Rules of Procedures for Proceeding Related to Professional Conduct.PCP is based on principles of fairness to M&c & confidentiality of proceedings.ORC of CFAI BOG => r 2019 finquiz CFA level II smart summaries esponsible for PCP & enforcement of code & standardsCFA1 = CfA InstitutePCP - Professional ConductProgramDRC - Disciplinary ReviewCommitteePCS - Profe2019 finquiz CFA level II smart summaries
ssional ConductStatementCircumstances Which Can Prompt Inquiry__________I—_______________•Self disclosure by member/candidate on PCS which comprehensi2019, Study Session ft 1, Reading ft 1"CODE OF ETHICS AND STANDARDS OF PROFESSIONAL CONDUCT” ILos 1.3M&c = Members & Candidates COE-Code of Ethics SOP 2019 finquiz CFA level II smart summaries date etc.•Written complaints about member/staff received by professional conduct staff.•Evidence of misconduct by member/candidate received by professional conduct staff through public source.•A report by CFA proctor of a possible violation during exammations.•CFAl designated officer conducts inquir 2019 finquiz CFA level II smart summaries ies.•Professional conduct staff (In writing) may request explanation from subject member/candidate & may:•Interview the subject member/candidate.•Inte2019 finquiz CFA level II smart summaries
rview the complainant / third party.•Collect relevant document & records.•Desgnated officer may decide•Disciplinary sanctions are not required.•Issue 2019, Study Session ft 1, Reading ft 1"CODE OF ETHICS AND STANDARDS OF PROFESSIONAL CONDUCT” ILos 1.3M&c = Members & Candidates COE-Code of Ethics SOP 2019 finquiz CFA level II smart summaries anction Is rejected => matter may be referred to CFAI panel for hearing,•Sanctions may include.•Condemnation by member's peers.•Suspension of candidate’s continued participation in CFAI programLosl.bAct with integrity, competence, diligence, respect, and in an ethical manner with the public, clients 2019 finquiz CFA level II smart summaries , prospective clients, employers, employees, colleagues’ In the Investment profession, and other participants in the global capital marltets. Place th2019 finquiz CFA level II smart summaries
e integrity of the investment profession and the interests of clients above their own personal interests.Use reasonable care and exercise independent 2019, Study Session ft 1, Reading ft 1"CODE OF ETHICS AND STANDARDS OF PROFESSIONAL CONDUCT” ILos 1.3M&c = Members & Candidates COE-Code of Ethics SOP 2019 finquiz CFA level II smart summaries onal activities,Practice and encourage others to practice in a professional and ethical manner that will reflect credit on themselves and the profession. 2019 finquiz CFA level II smart summaries 2019, Study Session ft 1, Reading ft 1"CODE OF ETHICS AND STANDARDS OF PROFESSIONAL CONDUCT” ILos 1.3M&c = Members & Candidates COE-Code of Ethics SOPGọi ngay
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