Chartered Financial Analyst
CFA 一级考试知识点总结Stanhope
CFA一级知识点总结
Ethics 部分
Objective of codes and standard：永远是为了maintain public trust in
1.Financial market
2.Investment profession
6个code of ethics
1.Code 1—ethics and pertinent d persons
a.
2.Code 2---primacy of client’s interest
a.Integrity with investment profession
b.客户利益高于自身利益
3.Code 3---reasonable and independent
a.必须注意reasonable care
b.必须exercise independent professional judgment---必须独立判断！
4.Code 4---ethical culture in the profession
a.不但自己要practice，而且要鼓励别人practice—不仅仅是自己一个人去做，
要所有人共同去做
5.Code 5---ethnical culture in the capital market!
a.促进整个capital market的integrity，推广其相关法规---增强公众对资本市
场的trust！
b.Capital market是基于
i.Fairly pricing of risky assets；
ii.Investors‘ confidence
6.有关competence—能力---competence
7个standard of professional conduct
1.Standard 1---professionalism---knowledge of law
a.不需要成为法律专家，但是必须understand和comply with applicable law；
b.当两个law发生conflict，则要遵守更加严格的法律！
c.Knowingly---know or should know
d.必须attempt to stop the violation，如果不能stop，then must dissociate
from the violation！必须从其中分离出去!
i.Remove name from the written report;
ii.Ask for a different assignment
e.并不要求向有关部门report！（do not require）
f.向CFA 进行书面报告report--encouraged to so
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