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1、CFA一级Notes习题笔记EthicsCodeofEthics1.actwithintegrity,competence,diligence,respect,andinanethicalmannerwiththepublic,clients,prospectiveclients,employers,employees,colleaguesintheinvestmentprofession,andotherparticipantsintheglobalcapitalmarkets2.placetheintegrityoftheinvestmentprofessiona
2、ndtheinterestsofclientsabovetheirownpersonalinterests3.usereasonablecareandexerciseindependentprofessionaljudgementwhenconductinginvestmentanalysis,makinginvestmentrecommendations,takinginvestmentactions,andengaginginotherprofessionalactivities4.practiceandencourageotherstopracticeinapr
3、ofessionalandethicalmannerthatwillreflectcreditonthemselvesandtheprofession5.promotetheintegrityof,andupholdtherulesgoverning,capitalmarkets6.maintainandimprovetheirprofessionalcompetenceandstrivetomaintainandimprovethecompetenceofotherivestmentprofessionals.StandardsofProfessionalCondu
4、ctIprofessionalismA.knowledgeofthelawB.independenceandobjectivityC.MisrepresentationD.MisconductII.integrityofcapitalmarketsA.materialnonpublicinformationB.marketmanipulationIII.dutiestoclientsA.Loyalty,PrudenceandCareB.FairDealingC.SuitabilityD.PerformancepresentationE.preservationofco
5、nfidentialityIV.dutiestoemployersA.loyaltyB.additionalcompensationarrangementsC.responsibilitiesofsupervisorsV.investmentanalysis,reommendations,andactionsA.DiligenceandreasonablebasisB.communicationwithclientsandprospectiveclientsC.recordretentionVI.conflictsofinterestA.Disclosureofcon
6、flictsB.priorityoftransactionsC.referralfeesVII.responsibilitiesasaCFAinstitutememberorCFAcandidateA.conductasmenbersandcandidatesinthecfaprogramB.referencetoCFAinstitute,thecfadesignation,andthecfaprogram1.私人投资跟Code无关，但滥用举报违反personalconduct。I(D),misconduct2.承销的公司发现问题，要先向上级反映，寻求支持。I(A),
7、法律相关3.发现违规但无法纠正，要首先脱离关系，寻求法律支持。I(A),法律相关4.遵守可行的最严格的法律，没有例外。SII(A),内幕交易，I(A),法律相关5.人为操纵volume或价格违反codeandstandards。II(B),marketmanipulation6.告知投资者投资策略的情况下，操作细节不披露，不违反II(B)7.最不正确的是“必须向监管机构或政府报告违法证据”，其他选项有：知道违反但不采取任何行为阻止；有责任立刻阻止知法犯法；碰到违法应向上级咨询。I(A),法律8.不能说有CFA证就betterperformance，C
