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2#
发表于 2011-7-13 13:40
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That's a tough one
In the recommendations they write "actions" (s. below) which I understand is AFTER a VERDICT.
Assuming that even CFAI takes into account that principle "Innocent until proven guilty" I would think that this principle applies too, as I read the CFAI-book: ("...found to have violated..." and NOT "under investigation").
BUT, Sniper, as you write "ACCUSED", this means that they may have FINISHED THE INVESTIGATION, what an attorney usually does BEFORE he accuses someone of something (at least according to German law)
b. Regulator y or disciplinar y action taken against the Manager or its personnel related to professional conduct.
Past professional conduct records are an important factor in an investor’s selection of a Manager. This record includes actions taken against a Manager by any regulator or other organization.
Managers must fully disclose any significant instances in which any employee or the firm has been found to have violated conduct standards or other standards reflecting on the integrity, ethics, or competence of the individuals or organization involved.
(Level III Volume 1 Ethical and Professional Standards , 4th Edition. Pearson Learning Solutions p. 281).
<vbk:9780558654832#page(281)> |
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