CFA Lv1 Ethics Summary
- 최초 등록일
- 2016.05.16
- 최종 저작일
- 2016.05
- 30페이지/
어도비 PDF
- 가격 25,000원
* 본 문서는 PDF문서형식으로 복사 및 편집이 불가합니다.
소개글
2016년 6월 CFA Lv1 시험을 앞두고 정리하여 제작한 Ethics Summary note 입니다.
저도 다른 분들이 작성하신 다른 과목 summary note을 구입하여 시험 준비하는데
많은 도움을 받았기에 저도 공유하고자 합니다.
목차
I.Professionalism
A.Knowledge of the Law
B.Independence and Objectivity
C.Misrepresentation
D.Misconduct
II.Integrity of Market
A.Material Nonpublic Information
B.Market Manipulation
III.Duties to Clients
A.Loyalty, Prudence, and Care
B.Fair Dealing
C.Suitability
D.Performance Presentation
E.Preservation of Confidentiality
IV.Duties to Employers
A.Loyalty
B.Additional Compensation Arrangement
C.Responsibilities as Supervisors
V.Investment Analysis, Recommendation, and Actions
A.Diligence and Reasonable Basis
B.Communication with Clients and Prospective Clients
VI.Conflicts of Interests
A.Disclosure of Conflicts
B.Priority of Transaction
C.Referral Fees
VII.Responsibilities as CFA Institute Member or Candidates
A.Conduct as Members and Candidates in the CFA Program
B.Reference to CFA Institute, the CFA Designation, and the CFA Program
본문내용
I. Professionalism
1 (A) Knowledge of the Law
- (잘 알고) Understand all applicable law relating to their professional activity
Keep up with changes in applicable law
모든 법을 다 알 필요는 없다, 자신의 업무에 한정되는 법
- (잘 따르고) Comply with all applicable laws, rules, regulations
In the event of conflict – C&S vs origin country law vs local country law – “ more strict law “
must NOT knowingly participation
document any violation (when dissociating themselves from prohibited activity)
참고 자료
슈웨이저 노트 및 김희상 강사님 자료 2차 가공
