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[下载]Standard of Practice Handbook
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Standards of Practice Handbook, 9th Edition (Paperback)
by CFA INSTITUTE (Compiler) "The CFA Institute Code of Ethics and Standards of Professional Conduct (Code and Standards) are fundamental to the values of CFA Institute values and essential..." (more)
Key Phrases: taking investment action, nonmaterial nonpublic information, making investment recommendations, Chartered Financial Analyst, Brady Securities, Lewis Brothers (more...)

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Book Description
The ninth edition of the Handbook contains the Code of Ethics and Standards of Professional Conduct, commentary and interpretation of the Code and Standards with examples illustrating application of the Standards in the day-to-day professional activities of members and candidates, and a self-administered Standards of Practice examination with commentary. The ninth edition provides guidance on the Code and Standards that are effective 1 January 2006.

Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . v

CFA Institute Code of Ethics and

Standards of Professional Conduct . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

Standard I: Professionalism

A. Knowledge of the Law . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

B. Independence and Objectivity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15

C. Misrepresentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25

D. Misconduct . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

Standard II: Integrity of Capital Markets

A. Material Nonpublic Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37

B. Market Manipulation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 49

Standard III: Duties to Clients

A. Loyalty, Prudence, and Care . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 53

B. Fair Dealing. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 61

C. Suitability. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69

D. Performance Presentation. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 75

E. Preservation of Confidentiality. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 79

Standard IV: Duties to Employers

A. Loyalty. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83

B. Additional Compensation Arrangements . . . . . . . . . . . . . . . . . . . . . . 91

C. Responsibilities of Supervisors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 93

Standard V: Investment Analysis, Recommendations, and Actions

A. Diligence and Reasonable Basis. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 99

B. Communication with Clients and Prospective Clients . . . . . . . . . . . 105

C. Record Retention . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111

Standard VI: Conflicts of Interest

A. Disclosure of Conflicts . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113

B. Priority of Transactions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121

C. Referral Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 127

Standard VII: Responsibilities as a CFA Institute Member or CFA Candidate

A. Conduct as Members and Candidates in the CFA Program. . . . . . . 131

B. Reference to CFA Institute, the CFA Designation, and the

CFA Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135

CFA Institute Standards of Practice Exam. . . . . . . . . . . . . . . . . . . . . . . . . . . 143

Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 159

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