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CFA 一级知识点详细总结Ethics 部分

发表时间: 2015-03-10 10:51:50 编辑:金程网校

Objective of codes and standard:永远是为了maintain public trust in

Objective of codes and standard:永远是为了maintain public trust in
1. Financial market
2. Investment profession 6个code of ethics
1. Code 1—ethics and pertinent d persons
a.
2. Code 2---primacy of client’s interest
a. Integrity with investment profession b. 客户利益高于自身利益
3. Code 3---reasonable and independent
a. 必须注意reasonable care
b. 必须exercise independent professional judgment---必须独立判断!
4. Code 4---ethical culture in the profession
a. 不但自己要practice, 而且要鼓励别人practice—不仅仅是自己一个人去做,
要所有人共同去做
5. Code 5---ethnical culture in the capital market!
a. 促进整个capital market的integrity,推广其相关法规---增强公众对资本市
场的trust!
b. Capital market是基于
i. Fairly pricing of risky assets; ii. Investors‘ confidence
6. 有关competence—能力---competence 7个standard of professional conduct
1. Standard 1---professionalism---knowledge of law
a. 不需要成为法律专家, 但是必须understand和comply with applicable law; b. 当两个law发生conflict,则要遵守更加严格的法律! c. Knowingly---know or should know
d. 必须attempt to stop the violation, 如果不能stop, then must dissociate
from the violation!必须从其中分离出去!
i. Remove name from the written report; ii. Ask for a different assignment
e. 并不要求向有关部门report!(do not require)

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