1、teredFinancialAnalystCFA一級(jí)考試知識(shí)點(diǎn)總結(jié)一級(jí)考試知識(shí)點(diǎn)總結(jié)3|Page7個(gè)stardofprofessionalconduct1.Stard1‐‐‐professionalism‐‐‐knowledgeoflawa.不需要成為法律專家，但是必須underst和complywithapplicablelaw；b.當(dāng)兩個(gè)law發(fā)生conflict，則要遵守更加嚴(yán)格的法律！c.Knowingly‐‐‐knowshou

2、ldknowd.必須attempttostoptheviolation，如果不能stop，thenmustdissociatefromtheviolation！必須從其中分離出去!i.Removenamefromthewrittenreptii.Askfadifferentassignmente.并不要求向有關(guān)部門rept?。╠onotrequire）f.向CFA進(jìn)行書面報(bào)告rept‐‐encouragedtoso2.Stard1‐‐‐

3、professionalism‐‐‐integrityofcapitalmarketa.Biasfromclientothergroups—listedcompany，controllingshareholder！b.Biasfromsellsideanalystc.Buyersideclient—d.Issuerpaidrept‐‐‐只能接受flatfeeftheirwke.3.Stard1‐‐‐professionalism‐‐‐m

4、isinterpretation—不能誤導(dǎo)客戶，不能剽竊其他人的研究成果4.Stard1‐‐‐professionalism‐‐‐misconduct‐‐‐5.Stard2‐‐‐integrityofcapitalmarketa.不能使用非公開信息！‐‐‐materialnonpublicinfmation‐‐‐b.mosaicthey‐‐‐conclusionfromanalysisofpublicnon‐materialnonpub