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The ethics section is primarily concerned with compliance and reporting rules when managing an investor's money or when issuing research reports. Some rules pertain more generally to professional behavior (such as prohibitions against plagiarism ); others specifically relate to the proper use of the designation for charter-holders and candidates.
CFP Board enforces the Code and Standards through a peer-reviewed process outlined in its Procedural Rules. The process includes: Written notice of the allegations and potential grounds for sanction. An opportunity to present documents, witnesses and arguments at a hearing before CFP Board's Disciplinary and Ethics Commission.
In 1962, the Chartered Financial Analyst (CFA) designation and code of conduct were established. In 1963, the profession was formalized when 284 candidates sat for the first CFA exam and 268 CFA charters were awarded. [9] [10] The following year, all 3 levels of the exam were administered to more than 1,700 candidates. [8]
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Two of the most readily recognized and broadly accepted designations are the charted financial analyst (CFA) designation and the master of business administration (MBA) degree. Understanding the …
The compliance oversight function is the function of acting in the capacity of a director or senior manager who is allocated by the Financial Services Authority the function of reporting to the governing body to ensure compliance with the rules set out in Conduct of Business, Collective Investment Schemes and Client Assets related operations. [10]
According to the IFSWF, the creation of the Santiago Principles was driven by the following goals for SWFs: [7] [13] [11] To help maintain a stable global financial system and free flow of capital and investment; To comply with all applicable regulatory and disclosure requirements in the countries in which they invest;
In its 2007 International Good Practice Guidance, "Defining and Developing an Effective Code of Conduct for Organizations", provided the following working definition: "Principles, values, standards, or rules of behaviour that guide the decisions, procedures, and systems of an organization in a way that (a) contributes to the welfare of its key stakeholders, and (b) respects the rights of all ...