文档介绍：
STUDY SESSION
1
Ethical and Professional
Standards
金程CFA
The readings in this study session present a framework for ethical conduct in the
investment profession by focusing on the CFA Institute Code of Ethics and Standards
of Professional Conduct (the Code and Standards) as well as the CFA Institute Research
Objectivity Standards.
The principles and guidance presented in the CFA InstituteStandards of Practice
Handbook (Handbook) form the basis for the CFA Institute self-regulatory­ program
to maintain the highest professional standards among investment practitioners. A
clear understanding of the CFA Institute Code of Ethics and Standards of Professional
Conduct (both found in the Handbook) should allow the practitioner to identify and
appropriately resolve ethical conflicts. The resulting recognition for integrity should
benefit both the individual and the profession. “Guidance” in theHandbook addresses
the practical application of the Code of Ethics and Standards of Professional Conduct.
The guidance reviews the purpose and scope of each Standard, presents recommended
procedures for compliance, and provides examples of the Standard in practice.
The CFA Institute Research Objectivity Standards address contemporary issues for
which CFA Institute has believed further, more specific guidance i