1、2024年CFA考试科目介绍 (1)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...
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...
Did Erobo most likely violate the CFA Code of Ethics and Standards of Professional Conduct? A. No. B. Yes, because returns are lower than expected by the Partners. C. Yes, because he did not disclose the increased costs to his Partners....
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...
Code of Ethics and Standards of Professional Conduct道德操守和专业行为准则 投资管理和研究协会 1999年5月重新修订 道德操守 投资管理和研究协会成员必须做到: ·与公众、客户、未来客户、雇主、员工和其他成员交往时表现出诚信、称职、尊严和道德操守。
©005CFAInstitute道德操守CFA协会会员包括特许金融分析师[CFA]特许状持有人和CFA考生(“会员和考生”)必须:•专业行为准则I.职业操守A.法律知识会员和考生必须理解和遵守由政府、监管组织、授权机构或管辖专业活动的专业协会颁布的所有适用法律、法规或规章(包括CF
Cases in Portfolio Managementand Risk Management 7、Ethical and Professional Standards 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 ...
介绍了Code of Ethics,是一个纲要纲领性的一个描述。Standards是准则,是具体如何来执行。Standards的话它总共有七条,它用的是这个罗马数字七条,这是七大条,七大条里面会有细分的小条款。细分的小条款总共是有二十二条。我们在讲解这个细分条款的时候,首先会介绍这个条款,会有一个介绍性的说明。然后会有指导告诉我们...
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...