2017年CFA一级_思维导图_Ethics.pdf

《 2017年CFA一级_思维导图_Ethics.pdf》由会员上传分享，免费在线阅读，更多相关内容在工程资料-天天文库。

1、ࠢھEthics,Ethicalconduct,Codeofethics,StandardsࠢھJob,Vocation,ProfessionԚӰOverconfidenceࠢھR1EthicsandTrustintheInvestmentProfessionࠢھChallengetoethicalconductSituationalinfluencesڧրপڧրEffectsofethical&unethicalbehaviorࠢھFrameworkforethicaldecisionmaking࠵௢FairnessPrimar

2、yprinciplesConfidentiality࠵௢R2CodeofEthicsandStandardsofProfessionalConductProceedings&hearingpanelSanctionsثࡁAMC&CodeandStandardsࠢھCodeofEthicsNotexpertoncomplianceKnowledgeofthelawMoststrict(laworCFACode&Standards)KnoworsuspectviolationGifts(Bestpractice)Buy-sidecli

3、entsFundmanager¡relationshipsandCustodialRelationshipsInvestmentbankingrelationshipIndependenceandobjectivityPerformanceanalystPubliccompaniesCreditratingagencyProfessionalismIssuer-paidresearchTravelfunding金程教育TypographicalerrorUntruestatementOmissionsMisrepresentati

4、onPerformancereportingPlagiarismThird-partyinformationLying,cheating,stealingMisconductPersonalbankruptcySourcereliableMaterialClearimpactMaterialnonpublicinformationNonpublicSelectivedisclosureMosaictheoryIndustryexpertsIntegrityofcapitalmarketsInfo-basedTransaction-

5、basedMarketmanipulationTradingstrategies金程教育ExceptionTaxpurposeFuturesexchange4typesofclientsLoyalty,prudenceandcareSoftdollarProxyvotingpolicyPremiumlevelserviceFairdealingTradeEthicsAnalyst'srecommendationIPSDiversificationSuitabilityManagingtoanindexormandateUnsoli

6、citedtraderequestsPastperformance&expectedperformanceR3GuidanceforStandardsI-VIITerminatedportfolioDutytoclientsͣࣂ੕澝ڀ࣐ͤComposite金程教育PerformancepresentationBriefpresentationSimulated&actualFulldisclosureGross-of-fee&net-of-feeAftertaxCurrentClientsFormerProspectivePres

7、ervationofconfidentiality金程教育IllegalactivitiesExceptionRequiredbylawClientspermissionIndependentpracticeBeforeleavingLoyaltyLeavinganemployerAfterleavingWhistle-blowingDutytoemployersAdditionalcompensationarrangementsWrittenconsentfromallpartiesDelegateResponsibilitie

8、sofsupervisorsActionsoncefindingaviolationSecondaryorthird-partyresearchDiligenceandreasonablebasisQuantitativelyorientedres