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Interpretations of Professional Conduct
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Journal Article
Interpretations of Professional Conduct
1979
Overview
The Financial Analysts Federation and the Institute of Chartered Financial Analysts have reached an agreement on the interpretations of their Codes of Ethics and Standards of Professional Conduct. The objective of the Codes and Standards is the maintain public confidence by defining standards of conduct. The most prominent violations of the code involve conflicts of interest, priority of transactions, and failure to exercise reasonable supervision over suborinate employees. While many of the standards are straightforward, disposition of complaint cases depends largely on the circumstances of the particular case. One possible case might involve an analyst in charge of research on a stock changing his recommendations from buy to sell, based on certain facts. He informs his superior who, in turn tells other people who hold a position in the stock, prior to the official dissemination of the information. Violations in this case include communicating on a selected basis and failure to supervise an employee.
