::1)self-disclosurebymembersorcandidatesonannualProfessionalConductStatementofinvolvementincivillitigationoracriminalinvestigation,)plaintsaboutamemberorcandidate')EvidenceofmisconductbyamemberorcandidatethattheProfessionalConductstaffreceivedthroughpublicsources4)AreportbyaCFAexamproctorofapossibleviolationduringtheexaminationOnceaninquirybegins,may1)request(inwriting)anexplanationfromthesubjectmemberorcandidate,&may:2)interviewthesubjectmemberorcandidate;3)plainantorotherthirdparties;4):1)nodisciplinarysanctionsareappropriate,2)toissueacautionaryletter3)hememberorcandidate=>eptorrejectthesanction,ifreject,'peersorsuspensionofcandidates':)petence,diligence,respect,hicalmannerwiththepublic,clients,prospectiveclients,employers,employees,colleaguesintheinvestmentprofession,))Usereasonablecareandexerciseindependentprofessionaljudgmentwhenconductinginvestmentanalysis,mendations,takinginvestmentactions,andengaginginotherprofessionalactivities4))Promotetheintegrityof,andupholdtherulesgoverningcapitalmarkets6))Professionalism2)IntegrityofCapitalMarkets3)DutiestoClients4)DutiestoEmployers5)InvestmentAnalysis,m
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