Etica Geral

Question 1

Ethics

Answer 1

Ethics can be described as a set of shared beliefs about what is good or acceptable behavior and what is bad or unacceptable behavior.

Question 2

code of ethics

Answer 2

A code of ethics is a written set of moral principles that can guide behavior by describing what
is considered acceptable behavior. Having a code of ethics is a way to communicate the values,
principles, and expectations of an organization or other group of people and provides a general
guide to what constitutes acceptable behavior.

Question 3

challenges to ethical behavior

Answer 3

-> individuals tend to overrate the ethical quality of their
behavior

-> external or situational in
*social pressure;
*Loyalty to an employer, supervisor, organization, or coworkers;
*acquiring more money or greater
prestige;

Question 4

The CFA Institute Professional Conduct staff conducts inquiries related to professional conduct.
Several circumstances can prompt such an inquiry: (5)

Answer 4

1) 1. Self-disclosure by members or candidates on their annual Professional Conduct Statements

2) Written complaints about a member or candidate

3) Evidence of misconduct by a member or candidate received through public sources

4) A report by a CFA exam proctor of a possible violation during the examination

5) Analysis of exam materials and monitoring of social media by CFA Institute

Question 5

The Professional Conduct staff may decide (3)

Answer 5

(1) that no disciplinary sanctions are appropriate

(2) to issue a cautionary letter

(3) to discipline the member or candidate

Question 6

1 item do codigo de etica atitudes

Answer 6

1 - integrity
2 - competence
3 - diligence
4 - respect
5 - in an ethical manner with the public