•
Disassociate
from any illegal or unethical activity. When members have reasonable grounds to
believe that a client’s or employee’s activities are illegal or unethical, the members
should dissociate from these activities and urge their firm to attempt to persuade the
perpetrator to cease such activity.
2-II.: Standards of Professional Conduct: II. Relationships with and Responsibilities to the
Profession
A.: Use of Professional Designation
II(A.1)
AIMR members may reference their membership only in a dignified and
judicious manner. The use of the reference may be accompanied by an
accurate explanation of the requirements that have been met to obtain
membership in these organizations.
II(A.2)
Those who have earned the right to use the Chartered Financial Analyst
designation may use the marks “Chartered Financial Analyst” or “CFA” and
are encouraged to do so, but only in a proper, dignified, and judicious
manner. The use of the designation may be accompanied by an accurate
explanation of the requirements that have been met to obtain the right to use
the designation.
II(A.3)
Candidates in the CFA Program, as defined in the AIMR Bylaws, may
reference their participation in the CFA Program, but the reference must
clearly state that an individual is a candidate in the CFA Program and cannot
imply that the candidate has achieved any type of partial designation.
B.: Professional Misconduct
II(B.1)
Members shall not engage in any professional conduct involving dishonesty,
fraud, deceit, or misrepresentation or commit any act that reflects adversely
on their honesty, trustworthiness, or professional competence.
II(B.2)
Members and candidates shall not engage in any conduct or commit any act
that compromises the integrity of the CFA designation or the integrity or
validity of the examinations leading to the award of the right to use the CFA
designation.
Compliance:
1.
Make clear that dishonest personal behavior reflects poorly on the profession.
2.
Adopt a code of ethics to which every employee must subscribe.
3.
Conduct background checks on potential employees to ensure that they are of good
character and eligible to work in the investment industry.
C.: Prohibition against Plagiarism
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