CFA一级Notes习题笔记参考.doc

CFA一级Notes习题笔记Ethics Code of Ethics 1.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 markets2.place the integrity of the investment profession and the interests of clients above their own personal interests3.use reasonable care and exercise independent professional judgement when conducting investment analysis, making investment recommendations, taking investment actions, and engaging in other professional activities4.practice and encourage others to practice in a professional and ethical manner that will reflect credit on themselves and the profession5.promote the integrity of, and uphold the rules governing, capital markets6.maintain and improve their professional competence and strive to maintain and improve the competence of other ivestment professionals. Standards of Professional Conduct I professionalismA.knowledge of the lawB.independence and objectivityC.MisrepresentationD.Misconduct II.integrity of capital marketsA.material nonpublic informationB.market manipulation III.duties to clientsA.Loyalty,Prudence and CareB.Fair DealingC.SuitabilityD.Performance presentationE.preservation of confidentiality IV.duties to employersA.loyaltyB.additional compensation arrangementsC.responsibilities of supervisors V.investment analysis, reommendations,and actionsA.Diligence and reasonable basisB.communication with clients and prospective clientsC.record retention VI.conflicts of interestA.Disclosure of conflictsB.priority of transactionsC.referral fees VII.responsibilities as a CFA institute member or CFA candidateA.conduct as menbers and candidates in the cfa programB.reference to CFA institute, the cfa designation, and the cfa program 私人投资跟Code无关，但滥用举报违反personal conduct。 I(D), misconduct 承销的公司发现问题，要先向上级反映，寻求支持。I(A),法律相关 发现违规但无法纠正，要首先脱离关系，寻求法律支持。I(A),法律相关 遵守可行的最严