2011年CFA三级官网LOS合集PDF电子文档下载

2011年CFA三级官网LOS合集PDF电子文档下载

2011年CFA三级官网LOS合集PDF电子文档

CFA 考试的所有题目都是根据Study Guide 的一个LOS 或者几个LOS 的综合， 是所有CFA 考试的复习指南。

The readings in this study session establish a framework for ethical conduct in
the investment profession. The principles and guidance presented in the
CFA Institute Standards of Practice Handbook (Handbook) form the basis for the
CFA Institute self-regulatory program to maintain the highest professional
standards among investment practitioners. A clear understanding of the CFA
Institute Code of Ethics and Standards of Professional Conduct (both found in the
Handbook) should allow practitioners to identify and appropriately resolve ethical
conflicts, leading to a reputation for integrity that benefits both the individual
and the profession. Material under “Guidance” in the Handbook addresses the
practical application of the Code and Standards. The guidance for each standard
reviews its purpose and scope, presents recommended procedures for
compliance, and provides examples of the standard in practice.
READING ASSIGNMENTS
Reading 1 Code of Ethics and Standards of Professional Conduct
Standards of Practice Handbook, Tenth Edition
Reading 2 Guidance for Standards I-VII
Standards of Practice Handbook, Tenth Edition

STUDY SESSION 2
ETHICAL AND PROFESSIONAL
STANDARDS IN PRACTICE

Using examples and case studies, the readings in this study session
demonstrate the use of the CFA Institute Code of Ethics and Standards of
Professional Conduct as a body of principles for ethical reasoning and decision
making. The readings serve as effective aids in understanding and internalizing
the values and standards presented in the CFA Institute Standards of Practice
Handbook. By applying the Code and Standards to case study conflicts, the
candidate will gain experience identifying and explaining fundamental principles
of conduct that serve as the basis for dealing with real world challenges.
The Asset Manager Code of Professional Conduct uses the basic tenets of the
CFA Institute Code of Ethics and Standards of Professional Conduct to establish
ethical and professional standards for firms managing client assets. The Asset
Manager Code of Professional Conduct also extends the Code and Standards to
address investment management firm practices regarding trading, compliance,
security pricing, and disclosure.
READING ASSIGNMENTS
Reading 3 Ethics in Practice
Ethics in Practice, by Philip Lawton, CFA
Reading 4 The Consultant
Ethics Cases
Reading 5 Pearl Investment Management (A), (B), and (C)
Ethics Cases
Reading 6Asset Manager Code of Professional Conduct
STUDY SESSION 2
ETHICAL AND PROFESSIONAL
STANDARDS IN PRACTICE
2011 Level III CFA Program Curriculum © CFA Institute.
Study Session 2

LEARNING OUTCOMES
Reading 3: Ethics in Practice
The candidate should be able to:
a. summarize the ethical responsibilities required by each of the six provisions of the
Code of Ethics and the seven categories of the Standards of Professional Conduct;
b. interpret the Code of Ethics and Standards of Professional Conduct in situations
involving issues of professional integrity and formulate corrective actions where
appropriate.
Reading 4: The Consultant
The candidate should be able to:
a. evaluate professional conduct and formulate an appropriate response to actions
that violate the Code of Ethics and Standards of Professional Conduct;
b. prepare appropriate policy and procedural changes needed to assure compliance
with the Code of Ethics and Standards of Professional Conduct.
Reading 5: Pearl Investment Management (A), (B), and (C)
The candidate should be able to:
a. evaluate professional conduct and formulate an appropriate response to actions
that violate the Code of Ethics and Standards of Professional Conduct;
b. prepare appropriate policy and procedural changes needed to assure compliance
with the Code of Ethics and Standards of Professional Conduct.
Reading 6: Asset Manager Code of Professional Conduct
The candidate should be able to:
a. summarize the ethical responsibilities required by the six components of the
Asset Manager Code;
b. interpret the Asset Manager Code in situations that present issues of compliance,
disclosure, or professional conduct;
c. recommend practices and procedures designed to prevent violations of the Asset
Manager Code.