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1、LOS1.a:DescribethestructureoftheCFAInstituteProfessionalConductProgramandtheprocessoftheenforcementoftheCodeandStandards.Severalcircumstancespromptaninquiry:1)self-disclosurebymembersorcandidatesonannualProfessionalConductStatementofinvolvementincivi
2、llitigationoracriminalinvestigation,orthatthememberorcandidateisthesubjectofawrittencomplaint.2)writtencomplaintsaboutamemberorcandidate'sprofessionalconductthatarereceivedbytheProfessionalConductStaff.3)Evidenceofmisconductbyamemberorcandidatethatth
3、eProfessionalConductstaffreceivedthroughpublicsources4)AreportbyaCFAexamproctorofapossibleviolationduringtheexaminationOnceaninquirybegins,may1)request(inwriting)anexplanationfromthesubjectmemberorcandidate,&may:2)interviewthesubjectmemberorcandidate
4、;3)interviewthecomplainantorotherthirdparties;4)collectdocumentsandrecordsrelevanttotheinvestigation.PossibledecisionofDesignatedOfficer:1)nodisciplinarysanctionsareappropriate,2)toissueacautionaryletter3)todisciplinethememberorcandidate=>subjectmemb
5、erorcandidatecanacceptorrejectthesanction,ifreject,thematterwillbereferredtoapanelofCFAinstitutemembersforahearing.Sanctionsimposedmayincludecondemnationbythemembers'peersorsuspensionofcandidates'continuedparticipationintheCFAProgram.LOS1.b:Statethes
6、ixcomponentsoftheCodeofEthicsandthesevenstandardsofProfessionalConduct.CodeofEthics1)Actwithintegrity,competence,diligence,respect,andinanethicalmannerwiththepublic,clients,prospectiveclients,employers,employees,colleaguesintheinvestmentprofession,an
7、dotherparticipantsintheglobalcapitalmarkets.2)Placetheintegrityoftheinvestmentprofessionandtheinterestsofclientsabovetheirowninterests.3)Usereasonablecareandexerciseindependentprofessionaljudgmentwhenconductinginvestmentanalysis,makinginvestmentrecom
8、mendations,takinginvestmentactions,andengaginginotherprofessionalactivities4)Practiceandencourageotherstopracticeinaprofessionalandethicalmannerthatwillreflectcreditonthemselvesandtheprofession.5)Promotetheintegrityof,andupholdtherulesgoverningcapita
