Professional conduct program
How CFA Institute enforces the Code and Standards against members and candidates: an inquiry, an investigation by Professional Conduct staff and, where warranted, a sanction. It runs separately from any legal case.
Where you will meet it
Professional conduct program appears in 3 learning outcomes on the CFA syllabus. A few of them:
- Explain how CFA Institute polices the Code and Standards through its Professional Conduct Program
“CFA Institute enforces the Code and Standards through its Professional Conduct Program, which applies to members and candidates.”
- Outline the make-up of CFA Institute's Professional Conduct Program and the steps by which it investigates and disciplines breaches of the Code and Standards
“The Professional Conduct Program is run by CFA Institute's Professional Conduct staff under the oversight of the Board of Governors, with the Disciplinary Review Committee supplying volunteer members for hearing panels.”
- Put the Preservation of Confidentiality standard, III(E), into practice
“A CFA Institute Professional Conduct Program investigation is an exception: cooperating with it is not a breach of confidentiality.”
Practise it
Practise professional conduct program until it is automatic: questions that explain every wrong option.
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