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渠道二
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25课程新链接
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25年一级CFA长线班
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2 基础精讲
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10.Ethical and Professional Standards
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1.框架介绍 178.sz
10.I(E) Competence .sz
11.II(A).Material nonpublic information .sz
12.II(B).Market manipulation .sz
13.III(A).Loyalty- prudence and care .sz
14.III(B).Fair dealing .sz
15.III(C).Suitability .sz
16.III(D).Performance presentation .sz
17.III(E).Preservation of Confidentiality .sz
18.IV(A).Loyalty .sz
19.IV(B).Additional compensation arrangements .sz
2.Explain ethics and professionalism .sz
20.IV(C).Responsibility of supervisors .sz
21.V(A).Diligence and reasonable basis .sz
22.V(B).Communication with clients .sz
23.V(C).Record retention .sz
24.VI(A).Disclosure of conflicts .sz
25.VI(B).Priority of transactions .sz
26.VI(C).Referral fees .sz
27.VII(A).Conduct as members and candidates .sz
28.VII(B).Reference to institute- designation- program .sz
29.Introduction to GIPS .sz
3.Ethical vs. legal standards .sz
4.Proceedings and the hearing panel .sz
5.Code of ethics .sz
6.I(A).Knowledge of the law .sz
7.I(B).Independence and objectivity .sz
8.I(C).Misrepresentation .sz
9.I(D).Misconduct .sz
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