Propose practices and procedures that stop breaches of the ethics Code and the Standards of Professional Conduct before they occur

Firms can head off Standard VII problems by sending the guidance to legal, compliance and marketing staff and by reviewing all marketing material, biographies, business cards, email signatures and social media profiles that mention CFA Institute against approved templates: the designation used after a name, candidacy described as candidacy, passed levels stated as facts. An annual check that each charterholder's membership is current catches lapsed use. Training for staff taking exams should make clear that study groups may discuss the curriculum but nobody may discuss what appeared on a sat exam or how answers were graded. The trap is treating someone who has passed a level but not enrolled for the next as still a candidate.