Ethics-standard

CFA一级ethics部分思维导图并带有一定解释。

standardsⅠ.ProfessionalismA.Knowledge of the lawⅡ.Integrity of capital marketsⅢ.Duty to clientsⅦ.Responsibility as membersA.Conduct as members and candidatesⅥ.Conflicts of interestⅤ.InvestmentⅣ.Duty to employersB.Independence and objectivityC.MisrepresentationD.Misconduct知法(本职工作相关)Gift(拒绝奢侈礼物;披露客户礼物)威逼(各个层面影响独立客观性的压力)守法(最严格的)发现违法(dissociate)吹牛(we can provide all service you need ×)omission(models使用注意限制条件;cherry picking×)plagiarism(必须要注明引用)欺诈与本职工作相关的错误行为lying,cheating,stealing个人信仰不属于违反A.Material nonpublic information自己不能用,也不能给别人用Mosaic theory(不违反本条)B.Market manipulation披露错误或误导性信息、虚增交易量to increase liquidity、trade strategies、避税--不违反本条A.Loyalty, prudence and careB.Fair dealingC.SuitabilityD.Performance presentationE.Preservation of confidentialityidentify clientsoft dollar无论是否有fiduciary duty,都要遵守beneficiarymandate了解客户--写IPS--依据IPS来投资第一时间发给所有客户(根据oder size购买相应份额)按照composite披露要包含所有基金业绩不能暗示客户未来可达到过去某一收益模拟业绩可以包含在业绩中,但要disclose例外:客户有illegal activities,可disclose例外的例外:当地法律规定必须保护客户信息时,按照法律规定即可A.Loyalty to employersB.Additional compensation arrangements在职leaving an employercompetitive business 不能做下班时间可以做非competitive business自己开公司可在下班时间做注册相关业务除了知识和技能什么都不能带走可以联系老客户,但不能是通过之前公司的资料兼职时也要遵守本条在职揭发whistleblowing不违反只有跟本职工作相关的才算需要雇主written consentC.Responsibility of supervisors积极预防和发现下属违反,要给予惩罚can delegate,但不能免责A.Diligence and reasonable basisB.Communication with clientsC.Record retentionA.Disclosure of conflictsB.Priority of transactionC.Referral feesB.Reference to CFA institute, designationusing seacondary or third-party researchusing quantitativelydeveloping quantitativelygroup researchmake reasonable and diligent efforts知道limitations and assumptionshigher level of diligencedisclose to clients the basic format and general principles事先披露material changes区分fact and opinion保留至少7年记录research:充分披露所有利益冲突可将有利益冲突的股票放入restricted listclient>employer>individual事前披露
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  • standards —— 作品大纲

    • Ⅰ.Professionalism
      • A.Knowledge of the law
        • 知法(本职工作相关)
        • 守法(最严格的)
        • 发现违法(dissociate)
      • B.Independence and objectivity
        • Gift(拒绝奢侈礼物;披露客户礼物)
        • 威逼(各个层面影响独立客观性的压力)
      • C.Misrepresentation
        • 吹牛(we can provide all service you need ×)
        • omission(models使用注意限制条件;cherry picking×)
        • plagiarism(必须要注明引用)
      • D.Misconduct
        • 欺诈
          • lying,cheating,stealing
        • 与本职工作相关的错误行为
          • 个人信仰不属于违反
    • Ⅱ.Integrity of capital markets
      • A.Material nonpublic information
        • 自己不能用,也不能给别人用
        • Mosaic theory(不违反本条)
      • B.Market manipulation
        • 披露错误或误导性信息、虚增交易量
        • to increase liquidity、trade strategies、避税--不违反本条
    • Ⅲ.Duty to clients
      • A.Loyalty, prudence and care
        • identify client
          • beneficiary
          • mandate
        • soft dollar
        • 无论是否有fiduciary duty,都要遵守
      • B.Fair dealing
        • 第一时间发给所有客户(根据oder size购买相应份额)
      • C.Suitability
        • 了解客户--写IPS--依据IPS来投资
      • D.Performance presentation
        • 不能暗示客户未来可达到过去某一收益
        • 按照composite披露
        • 要包含所有基金业绩
          • 要包含所有基金业绩
        • 模拟业绩可以包含在业绩中,但要disclose
      • E.Preservation of confidentiality
        • 例外:客户有illegal activities,可disclose
        • 例外的例外:当地法律规定必须保护客户信息时,按照法律规定即可
    • Ⅶ.Responsibility as members
      • A.Conduct as members and candidates
      • B.Reference to CFA institute, designation
    • Ⅵ.Conflicts of interest
      • A.Disclosure of conflicts
        • research:充分披露所有利益冲突
        • 可将有利益冲突的股票放入restricted list
      • B.Priority of transaction
        • client>employer>individual
      • C.Referral fees
        • 事前披露
    • Ⅴ.Investment
      • A.Diligence and reasonable basis
        • using seacondary or third-party research
          • make reasonable and diligent efforts
        • using quantitatively
          • 知道limitations and assumptions
        • developing quantitatively
          • higher level of diligence
        • group research
      • B.Communication with clients
        • disclose to clients the basic format and general principles
        • 事先披露material changes
        • 区分fact and opinion
      • C.Record retention
        • 保留至少7年记录
    • Ⅳ.Duty to employers
      • A.Loyalty to employers
        • 在职
          • competitive business 不能做
          • 下班时间可以做非competitive business
          • 自己开公司可在下班时间做注册相关业务
        • leaving an employer
          • 除了知识和技能什么都不能带走
          • 可以联系老客户,但不能是通过之前公司的资料
          • 兼职时也要遵守本条
          • 在职揭发whistleblowing不违反
      • B.Additional compensation arrangements
        • 只有跟本职工作相关的才算
        • 需要雇主written consent
      • C.Responsibility of supervisors
        • 积极预防和发现
        • 下属违反,要给予惩罚
        • can delegate,但不能免责