2021年CFA一級道德大綱要求考生做到這些？是哪些呢？

發(fā)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(yè)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(guī)范在定義職業(yè)方面的作用
c identify challenges to ethical behavior;確定對道德行為的挑戰(zhàn)
d describe the need for high ethical standards in the investment industry;描述投資行業(yè)對高道德標準的需求；
e distinguish between ethical and legal standards;

區(qū)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(xié)會專業(yè)行為計劃的結(jié)構(gòu)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(yè)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(guī)范和標準要求的道德責任，包括每個標準的小節(jié)。
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(yè)行為標準》適用于涉及職業(yè)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(qū)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(yè)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(chuàng)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(jié)構(gòu)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(guī)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(yè)績記錄有關(guān)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(xiàn)有業(yè)績報告標準的國家如何執(zhí)行全球投資政策標準，并說明在全球投資政策標準與當?shù)胤ㄒ?guī)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。