Ethical and Professional Standards - Relationships with and Responsibilities to the Profession - AIMR

Authors

• Narayana Rao

Published

Creative Commons Attribution 3.0 License

Version 2

Last edited: 15 Nov 2008

Exported: 26 Nov 2011

Original URL: http://knol.google.com/k/-/-/2utb2lsm2k7a/480

1. Use of Professional designation

Required conduct
a. Members of AIMR may reference their membership only in a dignified and judicious manner. An accurate explanation of requirements that have been met to obtain membership may be included.
b. CFA charterholder members may use “Chartered financial Analyst,” or the CFA mark in a dignified and judicious manner. An accurate explanation of requirements tht have been met to obtain the designation may be included.
c. Candidates may reference their participation in the CFA program, as long as it is made clear that they are only a candidate. Only those awarded the CFA charter may use the initials “CFA” after their name. There is no special entitlement or partial designation to someone who has passed one or more CFA examinations, but who has not been awarded a charter.


2. Do not engage in any act that adversely reflects upon you honesty, trustworthiness, or professional competence

 Violations include:

a. Convictions for a felony or any crime punishable by more than one year in prison, even if not related to professional activities.
b. Conviction or a misdemeanor involving moral turpitude, such as lying, cheating, stealing, and other dishonest conduct.
c. Repeated convictions of misdemeanors, no matter how inconsequential, because a large number of such convictions might suggest a disrespect for the law.
d. An action that reflects negatively on the level of ethical conduct of a CFA.
Required conduct

3. Do not plagiarise

Violations of this standard include the following:
a. Using parts of reports or articles prepared by other, either verbatim, or with only a slight change in wording without acknowledgement of the source.
b. Attributing specific quotations to “leading analysts”
or “investment experts,” without specifically referring to them by name.
c. Presenting statistical estimates or forecasts made by others with the source identified, but without any of the caveats that appeared in the source.
d. Using a chart or graph prepared by others without stating the source.

 

Reference

 

AIMR  Publications