This presentation provides a primer for CFA Institute Standard of Professional Conduct IV(C): Responsibility of Supervisors. The video conveys the key concepts of the standard, recommended compliance practices, and provides case studies to allow users to practice applying the standard to real world scenarios. The concepts covered include compliance programs, monitoring and enforcement, legal violations, investigating misconduct, reporting violations, sanctions, code of ethics, employee reviews, education and training, incentive structure, delegation of authority, and compliance officer.
This video is part of the 22 video series covering each of the Standards of Professional Conduct.
