The CFA members and candidates are expected to know and adhere by the following standards of professional conduct: I. Professionalism Knowledge of the law Independence & objectivity Misrepresentation Misconduct II. Integrity of capital market Material nonpublic information Market manipulation III. Duties to...
【二】CFA Institute Standards of Professional Conduct STANDARDS OF PROFESSIONAL CONDUCT 七大类准则↑ 22条细则 ↓ I. PROFESSIONALISM 专业性/专业胜任能力 【统领】 ★(A) Knowledge of the Law 知法守法 ★(B) Independence and objectivity 独立客观性 ★(C) Misrepresentation 不能错误陈述 ★(D)Misconduct ...
Q2-4-3During an on-site company visit, Marsha Ward, CFA, accidentally overheard the CEO of Stargazer, Inc., discussing the company’s tender offer to purchase Dynamica Enterprises, a retailer of Stargazer products. According to the CFA Institute Standards of Professional Conduct, Ward most likely...
🌟 道德与行为规范篇(EthicalandProfessionalStandards)📚 阅读1:道德规范和职业行为准则 EthicsandTrustintheInvestmentProfession 考察方式: 概念辨析:区分道德规范(codeofethics)与行为准则(standardsofconduct),以及道德与法律(ethics&law)。通过关键词进行记忆和区分。 情境影响:主要考察三种情境对道德规范的影响。📚...
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...
📝 阅读材料:Code of Ethics and Standards of Professional Conduct Reading 1 主要涉及五个部分,根据历年考试规则,需要重点掌握 LOS 1.a 中五种被调查的情况及相应的处罚结果,同时了解 LOS 1.b 中六大道德规范(Code of Ethics)的内容。📝 考试重点:六大道德规范...
Part Ⅱ:Standards of Professional Conduct Standards: Ⅰ-Ⅶ: Standard Ⅰ: Professionalism: Knowledge of the law--in the event of a conflict, follow the more strict law, rule, or regulation. ※Independence an Objectivity--not to offer,solicit,or accept any gift,benefit, compensation or considerat...
PartⅡ:Standards of Professional Conduct Standards:Ⅰ-Ⅶ: StandardⅠ: Professionalism: Knowledge of the law--in the event of a conflict, follow the more strict law, rule, or regulation. ※Independence an Objectivity--not tooffer,solicit,or accept any gift,benefit, compensation or consideration th...
一级的伦理道德要求考生能够解释 CFA 协会制订和颁发的道德操守(Code of Ethics)和专业行为准则(Standards of Professional Conduct)所要求的伦理责任,并把准则和标准应用在具体案例中。另外,考生也需要了解掌握全球投资业绩标准(Global Investment Presentation Standards) 。伦理道德纵横所有级别的 CFA 考试,所占比重一级...