The Professional Conduct division of the CFA Institute is responsible for
enforcing testing policies for the CFA Institute education programs and
the CIPM program.
Ethical And Professional Standards MCQ - Ethical And Professional Standards Section 1
The CFA Institute Board of Governors maintains oversight and
responsibility for the Professional Conduct Program.
Continuing to write after the final call is an offense taken seriously and it
is likely that an investigation will be carried out by the Professional
Conduct staff.
Sanctions include public censure, suspension of membership, use of the
CFA designation, and revocation of the CFA charter.
- A act with integrity, competence, diligence, and respect and in an ethical manner with the public, clients, prospective clients, employers, employees and other participants in the global capital markets.
- B place the integrity of the investment profession and the interests of clients at par with their own interests.
- C use reasonable care and exercise independent professional judgment when conducting investment analysis, making investment recommendations, taking investment actions and engaging in other professional activities.
According to the CFA Code of Ethics: “Place the integrity of the
investment profession and the interests of clients above their own
personal interests” and not at par with their own interests.
