CFA Ethics


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CFA Ethics present a framework for ethical conduct in the investment profession by focusing on the CFA Institute Code of Ethics and Standards of Professional Conduct as well as the Global Investment Performance Standards.

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CFA Ethics

  1. 1. Ethics Topic Weight: 15%© PristineThis Presentation has been prepared to provide general information about theCompany to whom it is addressed. This Presentation does not purport to contain allthe information. The information provided in this presentation is meant only forthe recipient and is not to be shared with anyone else.
  2. 2. Responsibility as a CFA Institute Member or CFA Candidate  Correct and Incorrect Use of the Chartered Financial Analyst and CFA Marks. Correct Incorrect Principle He is one of two CFA He is one of two CFAs in the The CFA and Chartered Financial Analyst Charterholders in the company. company. designations must always be used as adjectives, never as nouns or common names He earned the right to use the He is a Chartered Financial Analyst. Chartered Financial Analyst Designation. Jane Smith, CFA Jane Smith, C.F.A . No Periods John Doe, cfa Always Capitalize the letters “CFA”. John Jones, CFA John, a CFA type portfolio manager. Do not alter the designation to create new words The Focus is on Chartered Financial or phrases. Analysis. CFA –Equivalent program. Swiss-CFA John Jones, Chartered Financial Jones Charted Financial Analysts, The designation must not be used as part of the Analyst Inc. name of a firm. Jane Smith, CFA Jane Smith, CFA The CFA Designation should not be given more John Doe, Chartered Financial John Doe, Chartered Financial prominence (e.g., larger, bold) than the Analyst Analyst charterholder’s name. I have passed all three levels of CFA (Passed Finalist) A candidate who has passed level III but has not the CFA Program and may be yet received his or her charter cannot use the CFA eligible for the CFA charter upon or Chartered Financial Analyst designation completion of the required work experience.Pristine
  3. 3. Concept Checker Example 1: A member puts CFA logo on his business card, letterhead and the company letterhead . Comment whether it is a violation or not. A. Not violated the standard B. Violated the standard by putting CFA logo on letterhead. C. Violated the standard by putting logo on Company letter head Example 2: In a marketing literature, marketing department of the brokerage house has misstated that one of an analyst has received CFA charter, but in reality analyst has cleared all the three levels of CFA with total work experience of 2 years. Is he in violation of code and standards of ethics? A. Not violated any code & standards of ethics. B. Violated standard reference to Communication with clients and prospective clients C. Violated standard reference to the CFA program.Pristine
  4. 4. Answer Example 1: C Comment By putting the logo on company letterhead the member has violated the Standard because the logo is a certification mark intended to identify individual charterholders and must not be incorporated into a company name, confused with a company logo. He can put the logo on his personal business card and letterhead without violating the Standard. Example 2: C Comment The correct answer is Violated standard reference to the CFA program. Passing of three levels of CFA exams is one of the criteria to achieve CFA charter. It requires total work experience of four years to get CFA charter.Pristine