Reporting Misconduct in Professional Practice

Easy Cfa Institute Code And Standards Professionalism - Misconduct

As a CFA charterholder, you are expected to uphold the highest standards of ethical conduct in the financial profession. One day, you notice that a colleague in your firm is consistently providing misleading information to clients about the performance of certain investment products. Despite multiple warnings from compliance staff, your colleague continues this behavior.

According to the CFA Institute Code of Ethics and Standards of Professional Conduct, what should be your course of action regarding this misconduct?

Ignore the behavior as it is not your responsibility.

Report the misconduct to the appropriate authorities within your firm.

Confront your colleague directly and ask them to stop.

Hint

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