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

ETHICALANDPROFESSIONALSTANDARDSSTUDYSESSION1EthicsandProfessionalStandardsETHICALANDPROFESSIONALSTANDARDSThereadingsinthisstudysessionpresentaframeworkforethicalconductintheinvestmentprofessionbyfocusingontheCFAInstituteCodeofEthicsandStandardsofProfessionalConductaswellastheGlobalInvestmentPerformanceStandards(GIPS®).TheprinciplesandguidancepresentedintheCFAInstituteStandardsofPracticeHandbook(Handbook)formthebasisfortheCFAInstituteself-regulatoryprogramtomaintainthehighestprofessionalstandardsamonginvestmentpractitioners.“Guidance”,pliance,(GIPS)pari-,TenthEditionReading2GuidanceforStandardsI–VIIStandardsofPracticeHandbook,TenthEditionReading3IntroductiontotheGlobalInvestmentPerformanceStandards(GIPS)Reading4GlobalInvestmentPerformanceStandards(GIPS)ESMasteryThecandidateshouldbeableto:adescribethestructureoftheCFAInstituteProfessionalConductProgramandtheprocessfortheenforcementoftheCodeandStandards;ponentsoftheCodeofEthicsandthesevenStandardsofProfessionalConduct;cexplaintheethicalresponsibilitiesrequiredbytheCodeandStandards,includingthesub-(Handbook)providesguidancetothepeoplewhograpplewithrealethicaldilemmasintheinvestmentprofessiononadailybasis;