The lecture Ethical and Professional Standards by Edu Pristine is from the course Archiv - Ethical and Professional Standards. It contains the following chapters:
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... Distinguish between conduct that conforms to the Code and Standards and conduct that violates the Code and Standards ...
... Requirement vs. recommendation. Recommend practices and procedures designed to prevent violations ...
... A. Conduct as Members and Candidates in the ...
... A. Conduct as Members and Candidates in the CFA Program. ...
... Anil is writing a level 1 exam in US. After writing his exams he immediately contacts his friend in India to ...
... the CFA Program. Overpromise competency. Maintain ...
... The advertisement relates the superior performance of the firm to the above fact and guarantees a minimum of return for all clients. A. XY Investment firm has violated not violated any standard since CFA charter holders are smart. B. XY Investment firm has violated standard III (D): Performance presentation. C. XY Investment firm has violated standard VII (B): Reference to CFA Institute, ...
... " VII (A): Conduct as Members and Candidates in the CFA Program. CFA exam conduct. Opinions are allowed." VII(B): Reference to CFA Institute, ...
... "Who conducts?" Enquiry & when? Professional Conduct Statement (PCS). Written complaints ...
... Afterwards & Written explanation. Interview. Documents and records. "First up & investigation" ...
... C. Member rejects sanction > Designated officer issues a cautionary letter. "After thoroughly investigating the member, Beatrice Arnold decides that the best course of action is to impose disciplinary sanctions on the member. Which sequence best describes a possible outcome of this event? A. Member accepts sanction > Attends hearing before panel of CFA ...