D. Misconduct
#analyst-notes #code-of-ethics-and-standards-of-professional-conduct
Procedures for compliance
Members and candidates should encourage their employers to:
- Adopt a Code of Ethics. Make clear that any behavior that reflects poorly on the individual, the institution, or the industry will not be tolerated.
- Give employees a list of potential violations and their disciplinary sanctions, including dismissal from the firm.
- Do background checks on potential employees to ensure that they are of good character and do not have past infractions of the law.
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