2021年CFA一級道德大綱要求考生做到這些？是哪些呢？

發布時間：2020-06-24 09:34編輯：融躍教育CFA

2020年CFA一級道德需要考生學習的5個reading，那你知道每個reading需要考生做到的職業道德是什么嗎？今天融躍的老師給你說說每個reading考生或者持證人還要做的的是哪些行為準則！

READING 1. ETHICS AND TRUST IN THE INVESTMENT PROFESSION
The candidate should be able to:

候選人應能夠：
a explain ethics;解釋道德：
b describe the role of a code of ethics in defining a profession;描述道德規范在定義職業方面的作用
c identify challenges to ethical behavior;確定對道德行為的挑戰
d describe the need for high ethical standards in the investment industry;描述投資行業對高道德標準的需求；
e distinguish between ethical and legal standards;

區分道德和法律標準；
f describe and apply a framework for ethical decision making.

描述并應用道德決策框架。
READING 2. CODE OF ETHICS AND STANDARDS OF PROFESSIONAL CONDUCT
The candidate should be able to:
a describe the structure of the CFA Institute Professional Conduct Program and the process for the enforcement of the Code and Standards;

描述CFA協會專業行為計劃的結構和實施準則和標準的過程；
b state the six components of the Code of Ethics and the seven Standards of Professional Conduct;

b說明道德守則的六個組成部分和七項職業行為標準；
c explain the ethical responsibilities required by the Code and Standards, including the sub-sections of each Standard.

c解釋規范和標準要求的道德責任，包括每個標準的小節。
READING 3. GUIDANCE FOR STANDARDS I–VII
The candidate should be able to:
a demonstrate the application of the Code of Ethics and Standards of Professional Conduct to situations involving issues of professional integrity;證明《道德守則》和《職業行為標準》適用于涉及職業操守問題的情況；
b distinguish between conduct that conforms to the Code and Standards and conduct that violates the Code and Standards;區分符合本準則和標準的行為和違反本準則和標準的行為；
c recommend practices and procedures designed to prevent violations of the Code of Ethics and Standards of Professional Conduct.建議旨在防止違反道德守則和職業行為標準的做法和程序。
READING 4. INTRODUCTION TO THE GLOBAL INVESTMENT PERFORMANCE STANDARDS (GIPS  )
The candidate should be able to:
a explain why the GIPS standards were created, what parties the GIPS standard sa apply to, and who is served by the standards;

解釋為什么創建了GIPS標準，哪些方制定了GIPS標準適用于標準并由標準服務的人員；
b explain the construction and purpose of composites in performance reporting;說明性能報告中復合材料的結構和用途；
c explain the requirements for verification.說明驗證要求。
READING 5. THE GIPS STANDARDS
The candidate should be able to:
a describe the key features of the GIPS standards and the fundamentals of compliance;說明全球投資政策標準的主要特點和合規的基本原則；
b describe the scope of the GIPS standards with respect to an investment firm's definition and historical performance record;說明與投資公司定義和歷史業績記錄有關的全球投資政策標準的范圍；
c explain how the GIPS standards are implemented in countries with existing standards for performance reporting and describe the appropriate response when the GIPS standards and local regulations conflict;解釋在現有業績報告標準的國家如何執行全球投資政策標準，并說明在全球投資政策標準與當地法規沖突時的適當反應；
d describe the nine major sections of the GIPS standards.描述GIPS標準的九個主要部分。