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2012 CFA l2 workbook 1
www.YeaBook.org YeaBookOrg@Gmail.com www.YeaBook.org YeaBookOrg@Gmail.com Study Session Ethical and Professional Standards Study Session Ethical and Professional Standards Code of Ethics and Standards of Professional Conduct Guidance for Standards I - VII CFA lnstitute Soft Dollar Standards www.YeaBook.org YeaBookOrg@Gmail.com CFA lnstitute Research Objectivity Standards Ethical and Professional Standards Code of Ethics and Standards of Professional Conduct Guidance for Standards I - VII Study Session Ethical and Professional Standards Standard I: Professionalism www.YeaBook.org YeaBookOrg@Gmail.com Standard I: Professionalism The Standard A Knowledge of the Law H H H Understand and comply with all laws, rules, and regulations (including Code and Standards) of any government, regulatory agency, or association governing professional activities Comply with more strict law, rule, and regulation Do not knowingly assist in violation, otherwise dissociate from activity 02011 Kaplan, lnc ... No plagiarism-written, oral, or electronic communications 02 011 Kaplan, Inc 17 Study Sessior ~1 Ethical and Professional Standards 11 Standard I: Professionalism Recommended Procedures C Misrepresentation... arrangements Limit gifts; clear value limits by firm Be careful with IPO share allocations 02 011 Kaplan, lnc 15 10 Study Session Ethical and Professional Standards Standard I: Professionalism The Standard... solicit, or accept any compensation that could compromise independence or objectivity 02 011 Kaplan, lnc 11 Study Session Ethical and Professional Standards Standard I: Professionalism Guidance