Ethics / ROS

[fr_clem]

2 distinct questions:

1. Could a firm adopt and comply with the Code & Standards while not adhering to the CFAI ROS? And conversely?

2. Can individuals adopt the CFA Institute ROS? Or is it only for firms?

Thanks

[Harrogath]

@fr\_clem

1. Could a firm adopt and comply with the Code & Standards while not adhering to the CFAI ROS? And conversely?

Good question. I think that CFAI encourages the adoption of CFAI ROS.

@fr\_clem

2. Can individuals adopt the CFA Institute ROS? Or is it only for firms?

I think the CFAI ROS are in the context of a firm, both the firm and research analysts have duties.

[S2000magician]

@fr\_clem

2 distinct questions:

1. Could a firm adopt and comply with the Code & Standards while not adhering to the CFAI ROS? And conversely?

No.

The Code and Standards apply to covered persons – candidates, charterholders, members of CFA Institute – not to firms.

@fr\_clem

2. Can individuals adopt the CFA Institute ROS? Or is it only for firms?

The ROS applies only to firms, not to individuals.

[fr_clem]

Great, thanks.

[S2000magician]

D’accord.

[JayWill]

@S2000magician

D’accord.

You’re getting fancy on us.

[S2000magician]

@JayWill

@S2000magician

D’accord.

You’re getting fancy on us.

He’s from France.