文档介绍：copyright Molly GUO
NOTE1 ethical and professional standards 15%
三大部分
第一部分:codes
第二部分:standards
第三部分:GIPS
CFA官网outline point
Background里要注意的小点
& market sustainability
在做金融决策时应该考虑 long term market health
做到遵守…则market crisis可以减轻
and regulation
regulation不可能完全消除financial crisis 只有结合ethic principles才…
C. violation之后会?
sanction: revocation(撤回)撤回membership,候考人身份;不能再使用CFA头衔的权利
⻚码:
1/21
copyright Molly GUO
第一部分 6个codes
1、坚持正直、胜任、勤奋、令人尊重的做事原则,以合乎职业道德的方式对待投资行业内的
公众、客户、潜在客户、雇主、雇员、同事以及其他全球资本市场的参与者。Act with
integrity, competence, diligence, respect, and in an ethical manner with the public,
clients, prospective clients, employers, employees, colleagues in the investment
profession, and other participants in the global capital markets. 合情合理
2、将投资行业的诚信和客户的利益置于个人利益之上。自己利益最低
Place the integrity of the investment profession and the interests of clients above
their own personal interests.
3、进行投资分析、提供投资建议、采取投资行动和执行其他专业活动时,应保持合理的谨
慎,做出独立的职业判断。独立,警慎
Use reasonable care and exercise independent professional judgment when
conducting investment analysis, making investment mendations, taking
investment actions, and engaging in other professional activities.
4、履行并鼓励其他人履行职业道德规范,彰显其自身和行业的信誉。鼓励他人
Practice and encourage others to practice in a professional and ethical manner that
will reflect credit on themselves and the profession.
5、提升资本市场信誉,支持资本市场管理条例支持市场
Promote the integrity of, and uphold the rules governing, capital markets
6、保持和提高专业胜任能力,努力保持和提高他人在投资行业的专业胜任能力。胜任能力
⻚码:
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copyright Molly GUO
第二部分 7个standards
(member个人)
of laws 法律知识
& objective客观独立性
不当陈述
不当行为
of capital markets(对市场)
nonpublic information 重大非公开消息
manipulation 操纵市场
to clients(对客户)
,prudence,and care 忠诚及审慎
dealin