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CFA > Ethics > Flashcards

Ethics Flashcards

You may prefer our related Brainscape-certified flashcards:
CFA flashcards
1
Q

What are the components related to Knowledge of the Law?

A

1) Follow the stricter regulations

2) Don’t participate or assist in violations

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2
Q

What are the highlights related to standard Misconduct?

A
  • Personal behavior that reflect poorly on the CFA profession
  • Lying, cheating, stealing, dishonest behaviors
  • Alcohol/drug consumption
  • Copying CFA materials
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3
Q

What are some highlights related to Independence and Objectivity?

A
  • Avoid situations that may compromise independence and objectivity (gift, benefit, travel, compensation)

Best practices:

  • Protect integrity of opinions
  • Create a restricted list
  • Restrict special cost arrangements (travel)
  • Limit gifts
  • Review procedures
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CFA (10 decks)

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