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[CFA考试] [全高清可打印(非SCAN版)]CFA Program Curriculum L1.pdf


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[CFA考试] [全高清可打印(非SCAN版)]CFA Program Curriculum L1.pdf
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ETHICALANDPROFESSIONALSTANDARDSSTUDYSESSION1EthicsandProfessionalStandardsETHICALANDPROFESSIONALSTANDARDSThereadingsinthisstudysessionpresentaframeworkforethicalconductintheinvestmentprofessionbyfocusingontheCFAInstituteCodeofEthicsandStandardsofProfessionalConductaswellastheGlobalInvestmentPerformanceStandards(GIPS®).TheprinciplesandguidancepresentedintheCFAInstituteStandardsofPracticeHandbook(Handbook)formthebasisfortheCFAInstituteself-regulatoryprogramtomaintainthehighestprofessionalstandardsamonginvestmentpractitioners.“Guidance”intheHandbookaddressesthepracticalapplicationoftheCodeofEthicsandStandardsofProfessionalConduct.Theguidanceexpandsuponthepurposeandscopeofeachstandard,pliance,andprovidesexamplesofthestandardinpractice.TheGlobalInvestmentPerformanceStandards(GIPS)pari-sonofinvestmentperformanceacrossinvestmentmanagersandcountrybordersbyprescribingmethodologyandstandardsthatareconsistentwithaclearandhonestpresentationofreturns.Havingaglobalstandardforreportinginvestmentperformanceminimizesthepotentialforambiguousormisleadingpresentations.READINGASSIGNMENTSReading1CodeofEthicsandStandardsofProfessionalConductStandardsofPracticeHandbook,TenthEditionReading2GuidanceforStandardsI–VIIStandardsofPracticeHandbook,TenthEditionReading3IntroductiontotheGlobalInvestmentPerformanceStandards(GIPS)Reading4GlobalInvestmentPerformanceStandards(GIPS)ESMasteryThecandidateshouldbeableto:adescribethestructureoftheCFAInstituteProfessionalConductProgramandtheprocessfortheenforcementoftheCodeandStandards;ponentsoftheCodeofEthicsandthesevenStandardsofProfessionalConduct;cexplaintheethicalresponsibilitiesrequiredbytheCodeandStandards,includingthesub-sectionsofeachStandard.PREFACETheStandardsofPracticeHandbook(Handbook)providesguidancetothepeoplewhograpplewithrealethicaldilemmasintheinvestmentprofessiononadailybasis;theHandbookaddressestheprofessionalintersectionwheretheorymeetspracticeandwheretheconceptofethicalbehaviorcrossesfromtheabstracttotheconcrete.TheHandbookisintendedforadiverseandglobalaudience:CFAInstitutemembersnavigatingambiguousethicalsituations;supervisorsanddirect/indirectreportsdeterminingthenatureoftheirresponsibilitiestoeachother,toexistingandpoten-tialclients,andtothebroaderfinancialmarkets;andcandidatespreparingfortheCharteredFinancialAnalyst(CFA)examinations.Recenteventsintheglobalfinancialmarketshavetestedtheethicalmettleoffinancialmarketparticipants,includingCFAInstitutemembers.ThestandardstaughtintheCFAProgramandbywhichCFAInstitutemembersandcandidatesmustabiderepresenttimelessethicalprinciplesandprofessionalconductforallmarketconditions.Throughadherencetothesestandards,whichcontinuetoserveasthemodelforethi-calbehaviorintheinvestmentprofessionalglobally,eachmarketparticipantdoeshisorherparttoimprovetheintegrityandefficientoperationsofthefinancialmarkets.TheHandbookprovidesguidanceinunderstandingtheinterconnectednessoftheprinciplesandprovisionsoftheCodeofEthicsandStandards 内容来自淘豆网www.taodocs.com转载请标明出处.