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1、2014STANDARDSOFPRACTICEHANDBOOKSTANDARDSOFPRACTICEHANDBOOKELEVENTHEDITION2014ELEVENTHEDITIONCFAINSTITUTEStandardsofPracticeHandbookELEVENTHEDITION2014©2014,2010,2006,2005,1999,1996,1992,1990,1988,1986,1985(supplement),1984,1982,byCFAInstituteAllrightsres
2、erved.Nopartofthispublicationmaybereproducedortransmittedinanyformorbyanymeans,electronicormechanical,includingphotocopy,record-ing,oranyinformationstorageandretrievalsystem,withoutpermissionofthecopyrightholder.Requestsforpermissiontomakecopiesofanypart
3、oftheworkshouldbemailedto:CopyrightPermissions,CFAInstitute,915EastHighStreet,Charlottesville,Virginia22902.CFA®,CharteredFinancialAnalyst®,CIPM®,Claritas®andGIPS®arejustafewofthetrademarksownedbyCFAInstitute.ToviewalistofCFAInstitutetrade-marksandtheGui
4、defortheUseofCFAInstituteMarks,pleasevisitourwebsiteatwww.cfainstitute.org.ISBN:978-0-938367-85-716June2014(CorrectedSeptember2014)ContentsPreface...................................................................................................vEthicsan
5、dtheInvestmentIndustry.............................................................1CFAInstituteCodeofEthicsandStandardsofProfessionalConduct..................7StandardI:ProfessionalismA.KnowledgeoftheLaw..................................................
6、.............13B.IndependenceandObjectivity....................................................25C.Misrepresentation.....................................................................41D.Misconduct.......................................................
7、......................55StandardII:IntegrityofCapitalMarketsA.MaterialNonpublicInformation..................................................59B.MarketManipulation.................................................................75StandardIII:DutiestoClien
8、tsA.Loyalty,Prudence,andCare........................................................81B.FairDealing.............................................................................93C.Suitability...............................
