1、teredFinancialAnalystCFA一級考試知識點總結一級考試知識點總結3|Page7個stardofprofessionalconduct1.Stard1‐‐‐professionalism‐‐‐knowledgeoflawa.不需要成為法律專家，但是必須underst和complywithapplicablelaw；b.當兩個law發(fā)生conflict，則要遵守更加嚴格的法律！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.并不要求向有關部門rept！（donotrequire）f.向CFA進行書面報告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