cfa level i curriculum book i

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1、2012CFALevelICurriculumBookIJieWuThisworkislicensedundertheCreativeCommonsAttribution-NonCommercial-ShareAlike3.0License.2DISCLAIMER:Theauthorisnotresponsibleorliableforanyerrorcontainedinthisdocument.Theimagesarecollectedfromtheinternetandextractedfromthecurriculumbookthecopyrights

2、ofwhichbelongtotheoriginalmakers.Chapter1EthicalandProfessionalStandards1.1EthicalandProfessionalStandards1.1.1CodeofEthicsandStandardsofProfessionalConductstructureofCFAInstituteprofessionalconductprogram:pp.5,threeparts:CodeofEthics,6componentsStandardsofProfessionalConductGlob

3、alInvestmentPerformanceStandards(GIPS)AssetManagerCodeofProfessionalConduct(recommendedforrms)TheRulesofProcedureforProceedings:pp.8,theCFAInstituteBylawsandRulesofPro-cedureforProceedingsRelatedtoProfessionalConduct(RulesofProcedure)formthebasicstructureforenforcingtheCodeandStan

4、dards;twoprimaryprinciples:1.fairprocesstothememberandcandidate2.condentialityofproceedingsCodeofEthics:pp.15,sixcomponentsStandardsofProfessionalConduct:pp.15,seveningredients1.1.2GuidanceforStandardsI{VIIStandardI

5、Professionalism:pp.19,foursubsections:knowledgeofthelaw:notethefol

6、lowing:pp.20,whenapplicablelawandtheCodeandStandardsrequiredierentconduct,membersandcandidatesmustfollowthemorestrictoftheapplicablelawortheCodeandStandardspp.21,inactioncombinedwithcontinuingassociationwiththoseinvolvedinillegalorunethicalconductmaybeconstruedasparticipationoras

7、sistanceintheillegalorunethicalconduct34CHAPTER1.ETHICALANDPROFESSIONALSTANDARDSpp.21,theCodeandStandardsdonotcompelmembersandcandidatestoreportviolationstotheirgovernmentalorregulatoryorganizationsunlesssuchdisclosureismandatoryunderapplicablelawpp.22,membersandcandidatesshouldun

8、dertakethenecessaryduediligencewhentransactingcross-borderbusinesstounderstandthemultipleapplicablelawsandregulationsindependenceandobjectivity:notethefollowing:pp.33,ifthermisunwillingtopermitdisseminationofadverseopinionsaboutacorporateclient,membersandcandidatesshouldencouraget

9、hermtoremovethecon