Code of ethics

Question 0

Code of ethics #2

Answer 0

Place the integrity of the investment profession and the interest of clients above personal interests

Question 1

Code of ethics #1

Answer 1

Act with integrity competence diligence respect and in an ethical manner with all participants in capital markets

Question 2

Code of ethics #3

Answer 2

Use reasonable care and exercise independent professional judgment

Question 3

Code of ethics #4

Answer 3

Practice and encourage others to practice in a professional and ethical manner

Question 4

Code of ethics #5

Answer 4

Promote the integrity of and uphold the rules governing Capital Markets

Question 5

Code of ethics #6

Answer 5

Maintain and improve professional competence and strive to maintain and improve the confidence of other investment professionals

Question 6

How are ethical inquiries initiated?

Answer 6

self reporting, complaints, CFA institute commenced, or exam issue

Question 7

Inquiry process

Answer 7

Investigation by CFA staff leading to no action, cautionary letter or further discipline recommended

Question 8

Process for recommended discipline

Answer 8

Member may reject and then hearing panel decides sanction - censure, suspension, revocation