READING 1. CODE OF ETHICS AND STANDARDS OF PROFESSIONAL CONDUCT

a describe the structure of the CFA Institute Professional Conduct Program and the disciplinary review process for the enforcement of the Code of Ethics and Standards of Professional Conduct;立即播放

b explain the ethical responsibilities required by the Code of Ethics and the Standards of Professional Conduct, including the sub-sections of each standard.

READING 2. GUIDANCE FOR STANDARDS I–VII

a demonstrate a thorough knowledge of the Code of Ethics and Standards of Professional Conduct by interpreting the Code and Standards in various situations involving issues of professional integrity;

b recommend practices and procedures designed to prevent violations of the Code of Ethics and Standards of Professional Conduct.

READING 3. APPLICATION OF THE CODE AND STANDARDS

a evaluate professional conduct and formulate an appropriate response to actions that violate the Code of Ethics and Standards of Professional Conduct;

b formulate appropriate policy and procedural changes needed to assure compliance with the Code of Ethics and Standards of Professional Conduct.

READING 4. ASSET MANAGER CODE OF PROFESSIONAL CONDUCT

a explain the purpose of the Asset Manager Code and the benefits that may accrue to a firm that adopts the Code;

b explain the ethical and professional responsibilities required by the six General Principles of Conduct of the Asset Manager Code;

c determine whether an asset manager’s practices and procedures are consistent with the Asset Manager Code;

d recommend practices and procedures designed to prevent violations of the Asset Manager Code.