ETHICAL AND PROFESSIONAL STANDARDS archivos

What is the meaning of the Standard I-D of Professionalism “Misconduct”?

Cooper is an advisor with W&W Investment Firm and he manages accounts of wealthy clients. This Investment Firm has a policy for advisors to correct within 15 days, all trades with some kind of error and the difference between the trade price and the current price is charged to the advisor´s personal account through an

What is the meaning of the Standard I-C of Professionalism “Misrepresentation”?

Robert Swatz is a financial advisor who is trying to get a new client and to do so, he says, “I only have a 4-year track record, but I’ve averaged a 34% return on my clients’ accounts”. This sentence is true, but Swatz does not mention to the prospectthat he has few clients, and that

What is the meaning of the Standard I-B of Professionalism “Independence and Objectivity?

Amelia Bulonska is a highly respected technology sector analyst with Dadu&Fefe and has been asked by another investment firm to be the key spokesperson for a conference it is organizing. This investment firm has offered to pay her all expenses, plus bringing 3 all-expenses paid companions and a golf outing at Pebble Beach which is

What is the meaning of the Standard I-A of Professionalism “Knowledge of the Law?

Roberto Velasco, passed the CFA levels I and II in his first attempt, and he recently registered for the Level III exam. Roberto works for a global investment firm known as Alpha Searchers, and his company adopted the Code of Ethics and the Standards of Professional Conduct three years ago. Which one of the following

What are the two CFA Institute institutions responsible for both the Code and Standards?

All CFA Institute members and candidates enrolled in the CFA Program are required to comply with the Code of Ethics and with the Standards of Professional Conduct. The two CFA Institute institutions responsible for enforcement of both the Code and Standards are: a) PSP and DCP. b) PCP and DRC. c) PRP and DSC. https://vimeo.com/manage/videos/938321929

What is the main difference between Codes of Ethics and Standards of Conduct?

Ethical conducts are relevant to balance moral principles and industry practices in any kind of business. Mark the correct sentence in terms of the relationship between a Code of Ethics and Standards of Conduct. a) Codes of Ethics are commitments to upholding the law, while Standards of Conduct serve as a benchmark for the minimally