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..CFACFAEthicalandProfessionalStandards1.:CodeofEthicsA.:StatethefourcomponentsoftheCodeofEthics.MembersofAIMRshall:1.Actwithintegrity,competence,dignity,andinanethicalmannerwhendealingwiththepublic,clients,prospects,employers,employees,andfellowmembers.2.Practiceandencourageotherstopracticeinaprofessionalandethicalmannerthatwillreflectcreditonmembersandtheirprofession.3.Strivetomaintainandimprovetheircompetenceandthecompetenceofothersintheprofession.4.Usereasonablecareandexerciseindependentprofessionaljudgment.tolaunchStandardsofPractice2-I.:StandardsofProfessionalConduct:I.FundamentalResponsibilitiesA.:Knowthelawsandrules.Standard:Maintainknowledgeofandcomplywithallapplicablelaws,rules,andregulations(includingAIMRsCodeofEthicsandStandardsofProfessionalConduct)ofanygovernment,governmentagency,regulatoryorganization,licensingagency,orprofessionalassociationgoverningthemembersprofessionalactivities.Compliance:Memberscanacquireandmaintainknowledgeaboutapplicablelaws,rules,andregulationsby:Maintainingcurrentfilesonapplicablestatutes,rules,andregulations.Keepinginformed...Reviewingwrittencomplianceproceduresonaregularbasis.B.:Don'tbreakorhelpothersbreakthelaw.Standard:Notknowinglyparticipateorassistinanyviolationofsuchlaws,rules,orregulations.Compliance:Whenmemberssuspectaclientoracolleagueofplanningorengaginginongoingillegalactivities,membersshouldtakethefollowingactions:Consultcounseltodetermineiftheconductis,infact,illegal.Disassociatefromanyillegalorunethicalactivity.Whenmembershavereasonablegroundstobelievethataclientsoremployeesactivitiesareillegalorunethical,themembersshoulddissociatefromtheseactivitiesandurgetheirfirmtoattempttopersuadetheperpetratortoceasesuchactivity.2-II.:StandardsofProfessionalConduct:II.RelationshipswithandResponsibilitiestotheProfessionA.:UseofProfessionalDesignationII(A.1)AIMRmembersmayreferencetheirmembershiponlyinadignifiedandjudiciousmanner.Theuseofthereferencemaybeaccompaniedbyanaccurateexplanationoftherequirementsthathavebeenmettoobtainmembershipintheseorganizations.II(A.2)ThosewhohaveearnedtherighttousetheCharteredFinancialAnalystdesignationmayusethemarksCharteredFinancialAnalystorCFAandareencouragedtodoso,butonlyinaproper,dignified,andjudiciousmanner.Theuseofthedesignationmaybeaccompaniedbyanaccurateexplanationoftherequirementsthathavebeenmettoobtaintherighttousethedesignation.II(A.3)CandidatesintheCFAProgram,asdefinedintheAIMRBylaws,mayreferencetheirparticipationintheCFAProgram,butthereferencemustclearlystatethatanindividualisacandidateintheCFAProgramandcannotimplythatthecandidatehasachievedanytypeofpartialdesignation.B.:ProfessionalMisconduct..II(B.1)Membersshallnotengageinanyprofessionalconductinvolvingdishonesty,fraud,deceit,ormisrepresentationorcommitanyactthatreflectsadverselyontheirhonesty,trustworthiness,orprofessionalcompetence.II(B.2)MembersandcandidatesshallnotengageinanyconductorcommitanyactthatcompromisestheintegrityoftheCFAdesignationortheintegrityorvalidityoftheexaminationsleadingtotheawardoftherighttousetheCFAdesignation.Compliance:1.Makeclearthatdishonestpersonalbehaviorreflectspoorlyontheprofession.2.Adoptacodeofethicstowhicheveryemployeemustsubscribe.3.Conductbackgroundchecksonpotentialemployeestoensurethattheyareofgoodcharacterandeligibletoworkintheinvestmentindustry.C.:ProhibitionagainstPlagiarismStandard:Membersshallnotcopyoruse,insubstantiallythesameformastheoriginal,materialpreparedbyanotherwithoutacknowledgingandidentifyingthenameoftheauthor,publisher,orsourceofsuchmaterial.Membersmayuse,withoutacknowledgment,factualinformationpublishedbyrecognizedfinancialandstatisticalreportingservicesorsimilarsources.Compliance:1.Maintaincopiesofmaterialsthatwerereliedoninpreparingtheresearchreport.2.Attributequotations(andprojections,tables,statistics,models,andmethodologies)usedotherthanrecognizedfinancialandstatisticalreportingservices.3.Attributeparaphrasesandsummariesofmaterialpreparedbyothers.2-III.:StandardsofProfessionalConduct:III.RelationshipsandResponsibilitiestotheEmployer..A.:InformyourEmployeroftheCodeandStandardsIII(A.1)Membersshallinformtheiremployerinwriting,throughtheirdirectsupervisor,thattheyareobligatedtocomplywiththeCodeandStandardsandaresubjecttodisciplinarysanctionsforviolationsthereof.III(A.2)MembersshalldeliveracopyoftheCodeandStandardstotheiremployeriftheemployerdoesnothaveacopy.Compliance:MembersshouldnotifytheirsupervisorinwritingoftheCodeandStandardsandthemembersresponsibilitytofollowthem.ThemembershouldalsosuggestthattheemployersadopttheCodeandStandardsanddisseminateitthroughoutthefirm.Iftheemployerhaspubliclyacknowledged,inwriting,thattheyhaveadoptedAIMRsCodeandStandardsaspartofthefirmspoliciesthenthememberneednotgivetheformalwrittennotificationasrequiredbyIII(A).B.:DutytoEmployerStandard:Membersshallnotundertakeanyindependentpracticethatcouldresultincompensationorotherbenefitincompetitionwiththeiremployerunlesstheyobtainwrittenconsentfromboththeiremployerandthepersonsorentitiesforwhomtheyundertakeindependentpractice.Compliance:1.