CFA-Ethics超全笔记总结.pdf

copyright Molly GUO NOTE1 ethical and professional standards 15% 三大部分 第一部分：codes 第二部分：standards 第三部分：GIPS CFA官网outline point Background里要注意的小点 A .ethic& market sustainability 在做金融决策时应该考虑 long term market health 做到遵守…则market crisis可以减轻 B.ethic and regulation regulation不可能完全消除financial crisis 只有结合ethic principles才… C. violation之后会？ sanction: revocation(撤回)撤回membership，候考人身份；不能再使用CFA头衔的权利 ⻚码： 1/21 copyright Molly GUO 第一部分 6个codes 1、坚持正直、胜任、勤奋、令人尊重的做事原则,以合乎职业道德的方式对待 投资行业内的 公众、客户、潜在客户、雇主、雇员、同事以及其他全球资本市场的参与者 。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. 合情合理 2、将投资行业的诚信和客户的利益置于个人利益之上。自己利益最低 Place the integrity of the investment profession and the interests of clients above their own personal interests. 3、进行投资分析、提供投资建议、采取投资行动和执行其他专业活动时 ,应保持合理的谨 慎,做出独立的职业判断。独立，警慎 Use reasonable care and exercise independent professional judgment when conducting investment analysis, making investment recommendations, taking investment actions, and engaging in other professional activities. 4、履行并鼓励其他人履行职业道德规范,彰显其自身和行业的信誉。鼓励他人 Practice and encourage others to practice in a professional and ethical manner that will reflect credit on themselves and the profession. 5、提升资本市场信誉,支持资本市场管理条例 支持市场 Promote the integrity of, and uphold the rules governing, capital markets 6、保持和提高专业胜任能力,努力保持和提高他人在投资行业的专业胜任能力。胜任能力 ⻚码：2/21 copyright Molly GUO 第二部分 7个standards 1.professionalism (member个人) A.knowledge of laws