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章节
问答
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;
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.
发表
CFA L3 道德条例 2018（金多多教育）
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;