CFA一级知识点总结.doc

CFA一级知识点总结 Ethics 部分 Objective of codes and standard：永远是为了maintain public trust in Financial market Investment profession 6个code of ethics Code 1—ethics and pertinent d persons Code 2primacy of client’s interest Integrity with investment profession 客户利益高于自身利益 Code 3reasonable and independent 必须注意reasonable care 必须exercise independent professional judgment必须独立判断！ Code 4ethical culture in the profession 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 Code 5ethnical culture in the capital market! 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！ Capital market是基于 Fairly pricing of risky