CFA道德手册_版.pptVIP

The Code of Ethics Key Words: Dignity, integrity, ethical Reflect credit on yourself and the profession Competence Independent professional judgment The Standards of Professional Conduct These standards apply to: AIMR members CFA chartholders CFA candidates The term “member” applies to all three categories Standard I: Fundamental Responsibilities I(A): Know and comply with laws, regulations, ethical codes, and professional standards I(B): Do not knowingly participate or assist others in any violation of applicable regulations or ethical codes Standard I: Purpose and Scope Minimum standard of conduct in areas not covered in Standards II through V Must adhere to the Code and Standards anywhere in the world, and to the stricter of the local law or the Code and Standards 3. Do not require members to report illegal activities to the authorities; however, reporting such activities may be the only way of dissociation Standard I: Purpose and Scope 4. When facing illegal activities, the member should consult legal counsel (competent and unbiased) and follow the attorney’s advice without material deviation, dissociate from illegal activities, and urge the firm to stop the activities. This standard applies to the firm’s paid employees, non-paid interns, or volunteers, and consultants. Standard I: Procedures for Compliance Maintain current files Keep informed; regular education of employees Regular review of compliance procedures Standard I: TIP Differentiate between: Feels standard has been broken and, Knows standard has been broken If: Feels, then consult lawyer Knows, then report to supervisor, disassociate, could report to regulatory organization Standard II: Relationships with and Responsibilities to the Profession II (A): Use the CFA designation in a dignified and judicious manner II (B): Do not engage in any act that adversely reflects upon your honesty, trustworthiness or professional competence II (C) : Do not plagiarize Standard II (A): Purpose and Scope To prevent