The Seven Standards for Professional Conduct
These are part of all three tests, so memorize them. They apply to members and candidates. An extension note is provided for each, to enhance understanding; the extensions represent a single example but are not exhaustive.
1. Professionalism
- Know the law. Extension: Members discovering or suspecting a legal violation should report this to their supervisor or the firm's compliance department.
- Preserve independence and objectivity. Extension: Modest gifts to members are allowable, but you must reject offers that would threaten objectivity.
- Do not misrepresent. Extension: Member may not copy the work of another without citing the source of the material.
- Misconduct (not engaging in). Extension: Member must not act in a manner that creates a lack of confidence in professional judgment, like drinking on the job.
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