文档介绍：: .
CFA Institute (“Members and Candidates”) must:
•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.
•Place the integrity of the investment profession and the interests of 
clients above their own personal interests.
•Use reasonable care and exercise independent professional judgment 
when conducting investment analysis, making investment 
recommendations, taking investment actions, and engaging in other 
professional activities.
•Practice and encourage others to practice in a professional and ethical 
manner that will reflect credit on themselves and the profession.
•Promote the integrity of, and uphold the rules governing, capital 
markets.
• Maintain and improve their professional competence and strive to 
maintain and improve the competence of other investment professionals.
5-52 100% Contribution Breeds ProfessionalismFrame work of this course
¾ Code of Ethics
¾ Guidance for Standards I-VII
¾ Global Investment Performance Standards (GIPS)
6-52 100% Contribution Breeds ProfessionalismSeven Standards of Professional Conduct
Knowledge of the law;
Professionalism Independence and  objectivity; ★
Misrepresentation; 
Personal Misconduct
conduct Integrity  of  capital  Material Nonpublic information;