文档介绍：Ethical and professional standards Ethical and professional standards
SS1-Ethics and Professional Standards
• READING ASSIGNMENTS
ETHICAL
• Reading 1 Code of Ethics and Standards of Professional
13 LOS, 36 Questions, All LOS are Conduct
• Standards of Practice Handbook, Ninth Edition
• Reading 2 Guidance for Standards I–VII
• Standards of Practice Handbook, Ninth Edition
• Reading 3 Introduction to the Global Investment Performance
Standards
•(GIPS®)
• Reading 4 Global Investment Performance Standards (GIPS®)
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Ethical and professional standards Ethical and professional standards
. describe the structure of the CFA Institute Professional
Conduct Program and the process for the enforcement of the
Code and Standards;
• Reading 1: Code of Ethics and Standards of Professional Conduct • 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 mittee of the CFA Institute Board of
Governors has overall responsibility for the Professional Conduct
Program and enforcement of the Code and Standards.
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Ethical and professional standards Ethical and professional standards
• The CFA Institute Designated Officer, through the Professional Conduct
staff, conducts inquiries related to professional conduct. Several • Once an inquiry is begun, the Professional Conduct staff may request (in
circumstances can prompt such an inquiry: writing) an explanation from the subject member or candidate, and may:
1. Self-disclosure by members or candidates on their annual Profess