融跃教育

CFA一级道德集训营

• 1.Module 1 Ethics and Professionalism

  • M1-1 Ethics and Professionalism

    

  • M1-2 Challenges、Ethical vs. Legal、Decision-Making Frameworks

    

  • M1-3 summary

    

• 2.Module 2 Code of Ethics and Standards of Professional Conduct

  • M2-1 Code of Ethics and Standards of Professional Conduct

    

• 3.Module 3 Guidance for Standards I–VII

  • M3-1 I(A)Knowledge of the Law

    

  • M3-2 I(B)Independence and Objectivity-Guidance

    

  • M3-3 I(B)Independence and Objectivity-Case

    

  • M3-4 I(C)Misrepresentation-Guidance

    

  • M3-5 I(C)Misrepresentation-Cases

    

  • M3-6 I(D)Misconduct

    

  • M3-7 Ⅱ(A)Material NonpublicInformation-Guidance

    

  • M3-8 Ⅱ(A)Material Nonpublic Information-Cases

    

  • M3-9 Ⅱ(B)Market Manipulation

    

  • M3-10 III(A)Loyalty, Prudence and Care-Guidance

    

  • M3-11 III(A)Loyalty, Prudence and Care-Case

    

  • M3-12 III(B)Fair dealing

    

  • M3-13 III(C)Suitability

    

  • M3-14 III(D)Performance Presentation

    

  • M3-15 III(E)Preservation of Confidentiality

    

  • M3-16 IV(A)Loyalty-Guidance

    

  • M3-17 IV(A)Loyalty-Cases

    

  • M3-18 IV(B)Additional Compensation Arrangements

    

  • M3-19 IV(C)Responsibilities of Supervisors

    

  • M3-20 V(A)Diligenceand Reasonable basis-Guidance

    

  • M3-21 V(A)Diligenceand Reasonable basis-Cases

    

  • M3-22 V(B)Communication with clients+V(C)Record Retention

    

  • M3-23 VI(A)Disclosure of Conflicts

    

  • M3-24 VI(B)Priorityof Transaction+VI(C)Referral Fees

    

  • M3-25 VII(A)Conduct as members and candidates

    

  • M3-26 VII(B)Reference to CFAInstitute, Designation and Program

    

• 4.Module 4 Introduction to the Global Investment Performance Standar

  • M4-1 Introduction to the Global Investment

    

• 5.Module 5 Ethics Application

  • M5-1 Ethics Application

    

  • M5-2 Ethics Application

    

  • M5-3 Ethics Application

    

  • M5-4 Ethics Application

    

  • M5-5 Ethics Application