Podcast
Questions and Answers
What is the relationship between legal and ethical conduct?
What is the relationship between legal and ethical conduct?
- They are not always the same (correct)
- Legal conduct is always ethical
- Ethical conduct is always legal
- They are always the same
In what circumstances may an act of civil disobedience be considered ethical but illegal?
In what circumstances may an act of civil disobedience be considered ethical but illegal?
- When it aligns with organizational policies
- When it is not considered unethical
- When it violates existing local laws (correct)
- When it is in response to ethical laws
What is an example of conduct in the investment industry that may be legal but considered unethical?
What is an example of conduct in the investment industry that may be legal but considered unethical?
- Trading while in possession of material nonpublic information (correct)
- Participating in peaceful protests
- Complying with local laws
- Following organizational policies
What does whistleblowing refer to?
What does whistleblowing refer to?
How may a whistleblower's actions be perceived?
How may a whistleblower's actions be perceived?
What is an example of behavior that may be ethical but deemed illegal in certain jurisdictions?
What is an example of behavior that may be ethical but deemed illegal in certain jurisdictions?
What is the term for the area where ethics and laws may conflict?
What is the term for the area where ethics and laws may conflict?
What may some investment professionals and CFA Institute consider unethical?
What may some investment professionals and CFA Institute consider unethical?
What is an example of an action that may be deemed illegal but considered ethical by some?
What is an example of an action that may be deemed illegal but considered ethical by some?
What is the relationship between laws and ethical actions?
What is the relationship between laws and ethical actions?
Why is complying with specific written disclosures in marketing considered an ethical action?
Why is complying with specific written disclosures in marketing considered an ethical action?
What is the outcome of complying with disclosure requirements mandated by securities regulators?
What is the outcome of complying with disclosure requirements mandated by securities regulators?
Why is conduct that reduces risks, such as following disclosure rules, considered ethical?
Why is conduct that reduces risks, such as following disclosure rules, considered ethical?
What is the consequence of compliance with disclosure rules for investment professionals?
What is the consequence of compliance with disclosure rules for investment professionals?
Why is compliance with disclosure rules beneficial for investment professionals?
Why is compliance with disclosure rules beneficial for investment professionals?
What is the impact of compliance with disclosure rules on regulators' actions?
What is the impact of compliance with disclosure rules on regulators' actions?
Why is compliance with disclosure rules important for the reputation and future prospects of professionals and their employers?
Why is compliance with disclosure rules important for the reputation and future prospects of professionals and their employers?
What is an example of an ethical action as per laws and regulations?
What is an example of an ethical action as per laws and regulations?
How does compliance with disclosure rules benefit stakeholders?
How does compliance with disclosure rules benefit stakeholders?
What is the consequence of not complying with disclosure rules?
What is the consequence of not complying with disclosure rules?
How does compliance with disclosure rules benefit the clients?
How does compliance with disclosure rules benefit the clients?
What is the ethical implication of following disclosure rules?
What is the ethical implication of following disclosure rules?
What is the purpose of disclosure requirements mandated by securities regulators?
What is the purpose of disclosure requirements mandated by securities regulators?
What is the potential impact of clients investing without understanding the risks involved?
What is the potential impact of clients investing without understanding the risks involved?
Why is conduct that reduces risks, such as following disclosure rules, considered ethical?
Why is conduct that reduces risks, such as following disclosure rules, considered ethical?
