Do you want BuboFlash to help you learning these things? Or do you want to add or correct something? Click here to log in or create user.



#analyst-notes #code-of-ethics-and-standards-of-professional-conduct
An overview of Disciplinary Action follows:

  • Grounds for Discipline. Any act which violates the Code and Standards.

  • Investigation by Designated Officer (DO). The officer may conclude the inquiry with no disciplinary sanction, issue a cautionary letter, or continue proceedings to discipline the member or candidate. If the investigation determines that a violation occurred, a disciplinary sanction is recommended. The member or candidate may accept the recommended sanction or proceed to a hearing panel.

  • Hearing. If the member rejects the proposed sanction, a case against the member will be prepared and take place in front of a hearing panel of three or more members.
If you want to change selection, open document below and click on "Move attachment"

Subject 1. CFA Institute Professional Conduct Program
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, findings and appeal. <span>An overview follows: Grounds for Discipline. Any act which violates the Code and Standards. Investigation by Designated Officer (DO). The officer may conclude the inquiry with no disciplinary sanction, issue a cautionary letter, or continue proceedings to discipline the member or candidate. If the investigation determines that a violation occurred, a disciplinary sanction is recommended. The member or candidate may accept the recommended sanction or proceed to a hearing panel. Hearing. If the member rejects the proposed sanction, a case against the member will be prepared and take place in front of a hearing panel of three or more members. Authorized sanctions include suspension or revocation of membership/designation, private/public censure, and private reprimand.<span><body><html>


Summary

statusnot read reprioritisations
last reprioritisation on suggested re-reading day
started reading on finished reading on

Details


Discussion

Do you want to join discussion? Click here to log in or create user.