1. In the case of a complaint about a memberโs professional conduct, CFA Institute Professional Conduct Program staff are least likely to:
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10
How can failure to act in an ethical manner affect ?
client wealth and success of investment firm
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15
Employing a framework for decision-making that includes the ethical aspects of the decision is most likely to:
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20
How many steps of ethical decision making framework are there?
4 (identify,consider,decide and act,reflect)
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15
What are 2 standards which financial proffesionals are held to?
suitability and fiduciary standards
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15
Professional standards of practice:
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20
If a member or candidate is offered an additional compensation arrangement by a client, which of the seven Standards of Professional Conduct states the requirements the member or candidate must follow?
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20
Situational factors that influence ethical behavior are least likely to include:
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20
How can professions establish trust?
By requiring high standards of expertise, knowledge, and skill;Establishing standards of ethical behavior; Monitoring professional conduct
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10
What is Ethics?
a set of shared beliefs about what is good or acceptable behavior and what is bad or unacceptable behavior
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20
Which of the following requirements for members and candidates is one of the six components of the Code of Ethics?