原创的word版2008 CFA Level 1 quick sheet公式、数据速查表
word版2008 特许金融分析师CFA Level 1 quick sheet公式、数据速查表
ETHICAL AND PROFESSIONAL STANDARDS
I. Professionalism
A) Knowledge of the Law.
B) Independence and Objectivity.
C) Misrepresentation.
D) Misconduct.
II. Integrity of Capital Markets
A) Material Nonpublic Information.
B) Market Manipulation.
C) Plagiarism: Don’t use others’ work without reference and permission.
III. Duties to Clients
A) Loyalty, Prudence, and Care.
B) Fair Dealing.
C) Suitability.
D) Performance of Presentation.
E) Preservation of Confidentiality.
IV. Duties to Employers
A) Loyalty.
B) Additional Compensation Arrangements.
C) Responsibilities of Supervisors.
V. Investment Analysis, Recommendations, and Action
A) Diligence and Reasonable Basis.
B) Communication with Clients and Prospective Clients.
C) Record Retention.
VI. Conflicts of Interest
A) Disclosure of Conflicts.
B) Priority of Transactions.
C) Referral Fees
VII. Responsibilities as a CFA Institute Member or CFA Candidate
A) Conduct as Members and Candidates in the CFA Program.
B) Reference to CFA Institute, the CFA designation, and the CFA Program.
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