CFA 一级知识点总结
Ethics
部分
Objective of codes and standard：永远是为了 maintain public trust in
1. Financial market
2. Investment profession
6 个 code of ethics
1. Code 1—ethics and pertinent d persons
a.
2. Code 2---primacy of client’s interest
a. Integrity with investment profession
b. 客户利益高于自身利益
3. Code 3---reasonable and independent
a. 必须注意 reasonable care
b. 必须 exercise independent professional judgment---必须独立判断！
4. Code 4---ethical culture in the profession
a. 不但自己要 practice， 而且要鼓励别人 practice—不仅仅是自己一个人
去做，
要所有人共同去做
5. Code 5---ethnical culture in the capital market!
a. 促进整个 capital market 的 integrity，推广其相关法规---增强公众对资
本市场的
trust！
b. Capital market 是基于
i. Fairly pricing of risky assets；
ii. Investors‘ confidence
6. 有关 competence—能力---competence
7 个 standard of professional conduct
1. Standard 1---professionalism---knowledge of law
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