CFA考试三级培训Ethics and GIPS–pdf下载

CFA考试三级培训Ethics and GIPS–pdf下载

Main Topics
Code of Ethics
Standards of Professional Conducts
Asset Manager Code of Professional Conduct
Global Investment Performance Standards

Reading 4: The Consultant
Reading 5: Pearl Investment Management (A), (B), and (C)
a. evaluate professional conduct and formulate an appropriate response to
actions which violate the CFA Institute 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
a. summarize the ethical responsibilities required by the six components
of the Asset Manager Code;
b. interpret the Asset Manager Code in situations presenting issues of
compliance, disclosure, or professional conduct;
c. recommend practices and procedures designed to prevent violations of
the Asset Manager Code.

2.Guidance
Member should seek advice of counsel or their compliance
when in doubt
Member should document any violations when they
disassociate themselves from prohibited activity and
encourage their employers to bring an end to such activity.
There is no requirement under Standards to report
violations to governmental authorities, but this may be
advisable in some circumstances and required by law in
others.