Section 3: Professional Conduct Statement Code of Ethics and Professional Conduct
Members of CFA UK must:
Act with integrity, competence, diligence, respect, and in an ethical manner with the public, clients, prospective clients, employers, employees, colleagues in the investment profession, and other participants in the global capital markets.
Place the integrity of the investment profession and the interests of clients above their own personal interests.
Use reasonable care and exercise independent professional judgment when conducting investment analysis, making investment recommendations, taking investment actions, and engaging in other professional activities.
Practice and encourage others to practice in a professional and ethical manner that will reflect credit on themselves and the profession.
Promote the integrity and viability of the global capital markets for the ultimate benefit of society.
Maintain and improve their professional competence and strive to maintain and improve the competence of other investment professionals.
As a member of CFA UK, you are required to answer the following professional conduct questions. If any answer is "yes" then CFA UK will contact you to obtain details on this matter.
1. Have you ever been the subject of any written complaint or accusation regarding your professional conduct or activities? *
2. Have you ever been the subject of any investigation (internal or external) in which your professional conduct or activities were questioned or at issue? *
3. Have you ever been the subject of, or a defendant or respondent in, any litigation, arbitration, or other action or proceeding in which your professional conduct or activities were questioned or at issue? *
4. Have you ever been reprimanded, censured, restricted, suspended, barred, enjoined or otherwise sanctioned by any regulator, professional organization, government agency, or court because of your professional conduct or activities? *
5. Have you ever been accused of, been convicted of, or pleaded guilty to, any crime relating to your professional conduct activities? *
6. Have you ever been accused of, been convicted of, or pleaded guilty to, any crime (regardless of whether it involved your professional conduct or activities) that could have resulted in a sentence of more than one year in prison? *
Section 4: Terms CFA Society of the UK’s terms and conditions
