2011 -cfa l2 笔记 (ethics&standards)，自己一步一步的整理，和大家共进退

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professionalism

knowledge of the law
we understand and comply with the law in the country where we conduct our business
we understand and comply with the law governing our professional
we adhere to the more strict of law or c&s

relationship between laws rules regulations and c&s
we must understand and comply with LRR or C&S
we should not violate c&s even if it's legal
in the absence of the LRR ,or c&s impose a higher responsibility .we need to comply with c&s

participation in or association with the violation by others
we r responsible for the violation in which we participate or assist
it applies when our conducts contribute to the violation

if we have reasonable grounds to suspect that the ongoing or imminent client or employer's behaviors are unethical or illegal,we must step away from that violation
the intermediate steps we can take are following:
we bring it to the attention of the employer through compliance department
if the matter is not remedied  .then we dissociate from it ,and document it by removing our name from the report ,or ask for another assignment or refuse to serve that client
inaction combined with continuing association with those involved with violation might be construed as knowingly participation

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关键词：standards Standard Ethics CFA L2 stand understand standards knowledge business between