2005[CFA]standards of Practice Handbook/NINTH EDITION /2005

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内容简介

　   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.　　
 

目录

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