"morality" exercise:Standards of Professional Conduct
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Questions 1:
A profession is most likely described as a group of people that:
A 、has a common level of basic knowledge about a particular subject.
B、 monitors its members based on an agreed-on code of ethics.
C、 puts the interests of its members first
Questions 2:
Who most likely determines whether a violation of the CFA Institute Code and Standards or testing policies has occurred and what sanction should be imposed? The:
A、 Professional Conduct Staff and the Disciplinary Review Committee
B 、Professional Conduct Staff
C、 Disciplinary Review Committee
B is correct. A profession is practiced by members who share and agree to adhere to a common code of ethics, and a profession is based on a specialized knowledge and skills and service to others.
A is incorrect. A profession is based on a specialized knowledge and skills, not basic knowledge.
C is incorrect. A profession is based on service to others that may not necessarily mean the interests of its members come first.
A is correct. Both the Professional Conduct Staff and the Disciplinary Review Committee are responsible for determining whether a violation of the Code and Standards or testing policies has occurred and if so what sanction should be imposed. Following their investigation, the Professional Conduct Staff may conclude the inquiry with no disciplinary sanction, issue a cautionary letter, or continue proceedings to discipline the member or candidate which include the charges and a proposed sanction. If that proposal is rejected by the member or candidate, the matter is referred to a panel composed of DRC Members. The panel’s task is to determine whether a violation of the Code and Standards or testing policies occurred and if so what sanction should be imposed.
B is incorrect. Both the Professional Conduct Staff and the Disciplinary Review Committee are responsible for determining whether a violation of the Code and Standards or testing policies has occurred and if so what sanction should be imposed.
C is incorrect. Both the Professional Conduct Staff and the Disciplinary Review Committee are responsible for determining whether a violation of the Code and Standards or testing policies has occurred and if so what sanction should be imposed.
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