一、道德与专业准则(Ethical and Professional Standards) 该科目的重点是道德、有关道德行为的挑战,以及道德和专业水平在投资行业中的影响。考生可以学习掌握支持进行道德决策的一套框架,并检验CFA Institute道德操守与专业行为准则(Code of Ethics and Standards of Professional Conduct)、全球投资业绩标准(Global Investme...
Ethical and Professional Standards 该科目的重点是道德、有关道德行为的挑战,以及道德和专业水平在投资行业中的影响。考生可以学习掌握支持进行道德决策的一套框架,并检验CFA Institute道德操守与专业行为准则(Code of Ethics and Standards of Professional Conduct)、全球投资业绩标准(Global Investment Performance Standards...
Reading 1.Code of Ethics and Standards of Professional Conduct Reading 1有三个LOS,根据历年考试规则,主要需要掌握LOS 1.a中五种被调查的情况及相应的处罚结果,同时要了解LOS 1.b 中六大道德规范(Code of Ethics)的内容。 笔记一:五种引起调查的情况(Circumstances that can prompt at inquiry) Members和Candi...
科目一:道德与专业准则(Ethical and Professional Standards) 该科目的重点是道德、有关道德行为的挑战,以及道德和专业水平在投资行业中的影响。考生可以学习掌握支持进行道德决策的一套框架,并检验CFA Institute道德操守与专业行为准则(Code of Ethics and Standards of Professional Conduct)、全球投资业绩标准(Global Inve...
1、With respect to the CFA Institute Code of Ethics and Standards of ProfessionalConduct, which of the following is least likely to prompt an inquiry by the CFAInstitute Professional Conduct Program?【单选题】 A. Written complaints received by Professional Conduct staffs. B. A violation report sub...
原考纲READING 1. CODE OF ETHICS AND STANDARDS OF PROFESSIONAL CONDUCT READING 2. GUIDANCE FOR STANDARDS I–VII READING 3. APPLICATION OF THE CODE AND STANDARDS: LEVEL III分别对应新考纲中的READING 31,32,33 原考纲READING 4. PROFESSIONALISM IN THE INVESTMENT INDUSTRY删除 ...
According to the CFA Institute Code of Ethics and Standards of Professional Conduct, trading on material nonpublic information is least likely to be prevented by establishing: [单选题] A. fire -walls. B. watch lists. C. selective D. isclosure. 相关知识点: ...
原考纲READING 1. CODE OF ETHICS AND STANDARDS OF PROFESSIONAL CONDUCT READING 2. GUIDANCE FOR STANDARDS I–VII READING 3. APPLICATION OF THE CODE AND STANDARDS: LEVEL III分别对应新考纲中的READING 31,32,33 原考纲READING 4. PROFESSIONALISM IN THE INVESTMENT INDUSTRY删除 ...
在前两年的考试中Ethics部分36题,占15%,主要有3大部分:code of ethics、professional standards 、GIPS,估计今年考试可能主要集中在professional standards,还有一些就在GIPS。 professional standards在2003年12月考了下面一些内容: 1、laws and regulations