Tiêu đề Ethics.pdf ✅

Last Revised: 08/14/2023 1 2024 Level 2 - Ethical and Professional Standards This document should be used in conjunction with the corresponding learning modules in the 2024 Level 2 CFA® Program curriculum. Some of the graphs, charts, tables, examples, and figures are copyright 2023, CFA Institute. Reproduced and republished with permission from CFA Institute. All rights reserved. Required disclaimer: CFA Institute does not endorse, promote, or warrant accuracy or quality of the products or services offered by MarkMeldrum.com. CFA Institute, CFA®, and Chartered Financial Analyst® are trademarks owned by CFA Institute. © 2533695 Ontario Limited d/b/a MarkMeldrum.com. All rights reserved. Learning Modules Page Code of Ethics and Standards of Professional Conduct 2 Guidance for Standards I-VII 8 Application of the Code and Standards: Level II Video Review 59 M.M134813896.
Last Revised: 08/14/2023 2 Code of Ethics and Standards of Professional Conduct a. describe the six components of the Code of Ethics and the seven Standards of Professional Conduct b. explain the ethical responsibilities required of CFA Institute members and candidates in the CFA Program by the Code and Standards M.M134813896.
Last Revised: 08/14/2023 3 Professional Conduct Program - all members + candidates (M/C) are required to comply with the Code & Standards C/S CFA Board of Governors Professional Conduct Disciplinary Review Program Committee (PCP) (DRC) responsible for the enforcement of the ‘Code’ and ‘Standards’ Conduct inquiries may originate from: 1) M/C self-disclosure on the annual Professional Conduct Statement disclose: civil litigation criminal investigations subject of a written 2) written complaints complaint received by the Professional Conduct staff 3) CFA staff through media, regulatory notices 4) exam proctors 5) post-exam behavior (online disclosure of confidential exam material) volunteers oversight (CFA charterholders) LOS a - describe LOS a - describe M.M134813896.
Last Revised: 08/14/2023 4 - inquiry initiated/ - request for a written explanation from the M/C - interviews with M/C, complaining party, other relevant 3rd parties - collecting documents/records - may result in/ · no action · issue a cautionary letter · continue to disciplinary action · if the M/C rejects the result, goes to the DRC Sanctions/ · public censure · suspension of membership and use of the CFA designation · revocation of the CFA charter · candidates ⇒ suspension/prohibition from further participation Adoption of the Code and Standards/ - apply to M/C - firms are encouraged to adopt (also “So-and-so claims compliance with the CFA Institute Code of Ethics and Standards of Professional Conduct. This claim has not been verified by CFA Institute” LOS a - describe LOS a - describe nonmembers) M.M134813896.