TAILIEUCHUNG - CFA 2010 level 2 Outline

The reading in this study session present a framework for ethical conduct in the investment profession by focusing on the CFA Code of Ethics and Standard of Professional Conduct as well as the CFA Institute Soft Dollar Standards and the CFA Institute Research Objectivity Standards. | STUDY SESSION 1 ETHICAL AND PROFESSIONAL STANDARDS The readings in this study session 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 CFA Institute Soft Dollar Standards and the CFA Institute Research Objectivity Standards. The principles and guidance presented in the CFA Institute Standards of Practice Handbook SOPH form the basis for the CFA Institute self-regulatory program to maintain the highest professional standards among investment practitioners. A clear understanding of the CFA Institute Code of Ethics and Standards of Professional Conduct both found in the SOPH should allow the practitioner to identify and appropriately resolve ethical conflicts. The resulting recognition for integrity should benefit both the individual and the profession. Guidance in the SOPH addresses the practical application of the Code of Ethics and Standards of Professional Conduct. The guidance reviews the purpose and scope of each Standard presents recommended procedures for compliance and provides examples of the Standard in practice. The CFA Institute Soft Dollar Standards and CFA Institute Research Objectivity Standards address contemporary issues for which CFA Institute has believed further mere specific guidance is warranted. Both documents are consistent with and complement the CFA Institute Code of Ethics and Standards of Professional Conduct. Soft-dollar payment arrangements involving the investment manager s use of client brokerage to obtain services related to the manager s investment decision-making process have become extremely complex. As a consequence ethically ambiguous situations can arise in which it is not immediately clear that the manager remains in compliance with the obligation under the CFA Institute Code of Ethics to place client interests ahead of personal or firm interests. The Soft Dollar Standards provide guidance on what services .

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