Wiley Study Guide for 2015 Level I CFA Exam – Complete Set
CFA Institute Professional Conduct Program
All CFA Institute members and candidates enrolled in the CFA Program are required to comply with the Code and Standards. The CFA Institute Board of Governors maintains oversight and responsibility for the Professional Conduct Program (PCP), which, in conjunction with the Disciplinary Review Committee (DRC), is responsible for enforcement of the Code and Standards. The DRC is a volunteer committee of CFA charterholders who serve on panels to review conduct and partner with Professional Conduct staff to establish and review professional conduct policies. The CFA Institute Bylaws and Rules of Procedure for Professional Conduct (Rules of Procedure) form the basic structure for enforcing the Code and Standards. The Professional Conduct division is also responsible for enforcing testing policies of other CFA Institute education programs as well as the professional conduct of Certificate in Investment Performance Measurement (CIPM) certificates. Professional Conduct inquiries come from a number of sources.
– Members and candidates must self‐disclose on the annual Professional Conduct Statement all matters that question their professional conduct, such as involvement in civil litigation or a criminal investigation or being the subject of a written complaint.
– Written complaints received by Professional Conduct staff can bring about an investigation.
– CFA Institute staff may become aware of questionable conduct by a member or candidate through the media, regulatory notices, or another public source.
– Candidate conduct is monitored by proctors, who complete reports on candidates suspected to have violated testing rules on exam day.
– CFA Institute may also conduct analyses of scores and exam materials after the exam, as well as monitor online and social media to detect disclosure of confidential exam information.
When an inquiry is initiated, the Professional Conduct staff conducts an investigation that may include:
– Requesting a written explanation from the member or candidate.
– Interviewing the member or candidate, complaining parties, and third parties.
– Collecting documents and records relevant to the investigation.
Upon reviewing the material obtained during the investigation, the Professional Conduct staff may:
– Take no disciplinary action.
– Issue a cautionary letter.
– Continue proceedings to discipline the member or candidate.
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