CFA一级道德考生学习的5个知识

来源：融跃教育CFA-FRM-ACCA-CPA培训时间：2020/7/2 16:46:50

　　2020年CFA一级道德需要考生学习的5个reading，那你知道每个reading需要考生做到的职业道德是什么吗？今天融跃的老师给你说说每个reading考生或者持证人还要做的的是哪些行为准则！

　　READING 1. ETHICS AND TRUST IN THE INVESTMENT PROFESSION

　　The candidate should be able to:

　　候选人应能够：

　　a explain ethics;解释道德：

　　b describe the role of a code of ethics in defining a profession;描述道德规范在定义职业方面的作用

　　c identify challenges to ethical behavior;确定对道德行为的挑战

　　d describe the need for high ethical standards in the investment industry;描述投资行业对高道德标准的需求；

　　e distinguish between ethical and legal standards;

　　区分道德和法律标准；

　　f describe and apply a framework for ethical decision making.

　　描述并应用道德决策框架。

　　READING 2. CODE OF ETHICS AND STANDARDS OF PROFESSIONAL CONDUCT

　　The candidate should be able to:

　　a describe the structure of the CFA Institute Professional Conduct Program and the process for the enforcement of the Code and Standards;

　　描述CFA协会专业行为计划的结构和实施准则和标准的过程；

　　b state the six components of the Code of Ethics and the seven Standards of Professional Conduct;

　　b说明道德守则的六个组成部分和七项职业行为标准；

　　c explain the ethical responsibilities required by the Code and Standards, including the sub-sections of each Standard.

　　c解释规范和标准要求的道德责任，包括每个标准的小节。

　　READING 3. GUIDANCE FOR STANDARDS I–VII

　　The candidate should be able to:

　　a demonstrate the application of the Code of Ethics and Standards of Professional Conduct to situations involving issues of professional integrity;证明《道德守则》和《职业行为标准》适用于涉及职业操守问题的情况；

　　b distinguish between conduct that conforms to the Code and Standards and conduct that violates the Code and Standards;区分符合本准则和标准的行为和违反本准则和标准的行为；

　　c recommend practices and procedures designed to prevent violations of the Code of Ethics and Standards of Professional Conduct.建议旨在防止违反道德守则和职业行为标准的做法和程序。

　　READING 4. INTRODUCTION TO THE GLOBAL INVESTMENT PERFORMANCE STANDARDS (GIPS  )

　　The candidate should be able to:

　　a explain why the GIPS standards were created, what parties the GIPS standard sa apply to, and who is served by the standards;

　　解释为什么创建了GIPS标准，哪些方制定了GIPS标准适用于标准并由标准服务的人员；

　　b explain the construction and purpose of composites in performance reporting;说明性能报告中复合材料的结构和用途；

　　c explain the requirements for verification.说明验证要求。

　　READING 5. THE GIPS STANDARDS

　　The candidate should be able to:

　　a describe the key features of the GIPS standards and the fundamentals of compliance;说明投资政策标准的主要特点和合规的基本原则；

　　b describe the scope of the GIPS standards with respect to an investment firm's definition and historical performance record;说明与投资公司定义和历史业绩记录有关的投资政策标准的范围；

　　c explain how the GIPS standards are implemented in countries with existing standards for performance reporting and describe the appropriate response when the GIPS standards and local regulations conflict;解释在现有业绩报告标准的如何执行投资政策标准，并说明在投资政策标准与当地法规冲突时的适当反应；

　　d describe the nine major sections of the GIPS standards.描述GIPS标准的九个主要部分。

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