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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?
 
Duties to Employers
 
Conflicts of Interest
 
Duties to Clients
Which of the following requirements for members and candidates is one of the six components of the Code of Ethics?
 
Maintain and improve their professional competence
 
Do not act or cause others to act on material nonpublic info
 
Distinguish b/n fact and opinion when presenting invest anal
1. In the case of a complaint about a member’s professional conduct, CFA Institute Professional Conduct Program staff are least likely to:
 
suspend the member’s right to use the CFA designation
 
request interview with member or wi party making complaint
 
review documents and records related to the complaint
Employing a framework for decision-making that includes the ethical aspects of the decision is most likely to:
 
balance the interests of various stakeholders
 
avoid any unintended ethical consequences of decisions
Situational factors that influence ethical behavior are least likely to include:
 
a lack of ethical principles
 
social pressure
 
large financial rewards
Professional standards of practice:
 
A.specify a minimum level of acceptable conduct
 
B.encompass current “best practices”
 
C. are a personal view of acceptable behavior
How many steps of ethical decision making framework are there?
4 (identify,consider,decide and act,reflect)
What are 2 standards which financial proffesionals are held to?
suitability and fiduciary standards
How can failure to act in an ethical manner affect ?
client wealth and success of investment firm
How can professions establish trust?
By requiring high standards of expertise, knowledge, and skill;Establishing standards of ethical behavior; Monitoring professional conduct
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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