CFA一级Ethics-standard思维导图
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发布时间:
2018年9月26日
CFA一级考试必备!ethics部分standard思维导图,从Professionalism,Integrity of capital markets,Duty of clients,Responsiblity as members,Conflicts of interest,Investment,Duty of employers 等方面详细展开阐述,附有作者自己的一些解释。喜欢或者觉得有帮助的话动动小手指点个喜欢收藏吧~


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

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 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

A.Conduct as members and candidates
B.Reference to CFA institute, designation

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

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

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