Professional Conduct staff monitor compliance through Professional Conduct Statements, public complaints, [...], and media reports.
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public information
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Subject 1. CFA Institute Professional Conduct Program The basic structure for enforcing the Code and Standards: Rules of Procedure.
The Disciplinary Review Committee (DRC) enforces the Code and Standards.
Professional Conduct staff monitor compliance through Professional Conduct Statements, public complaints, public information, and media reports.
The rules related to information-gathering and conviction follow a criminal justice system approach. The procedures require a careful investigation of the charges followed by a hearing,
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