课程详情

课程目录

• 第1章 CFA一级道德集训营
  

  第2课节    Module 1 Ethics and Professionalism

  • 1、 M1-1 Ethics and Professionalism
  • 2、M1-2 Challenges、Ethical vs. Legal、Decision-Making Frameworks
  • 3、 M1-3 summary
  
  

  第3课节    Module 2 Code of Ethics and Standards of Professional Conduct

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

  第4课节    Module 3 Guidance for Standards I–VII

  • 1、 M3-1 I(A)Knowledge of the Law
  • 2、 M3-2 I(B)Independence and Objectivity-Guidance
  • 3、 M3-3 I(B)Independence and Objectivity-Case
  • 4、 M3-4 I(C)Misrepresentation-Guidance
  • 5、M3-5 I(C)Misrepresentation-Cases
  • 6、M3-6 I(D)Misconduct
  • 7、M3-7 Ⅱ(A)Material NonpublicInformation-Guidance
  • 8、M3-8 Ⅱ(A)Material Nonpublic Information-Cases
  • 9、 M3-9 Ⅱ(B)Market Manipulation
  • 10、 M3-10 III(A)Loyalty, Prudence and Care-Guidance
  • 11、 M3-11 III(A)Loyalty, Prudence and Care-Case
  • 12、 M3-12 III(B)Fair dealing
  • 13、 M3-13 III(C)Suitability
  • 14、 M3-14 III(D)Performance Presentation
  • 15、 M3-15 III(E)Preservation of Confidentiality
  • 16、 M3-16 IV(A)Loyalty-Guidance
  • 17、 M3-17 IV(A)Loyalty-Cases
  • 18、 M3-18 IV(B)Additional Compensation Arrangements
  • 19、 M3-19 IV(C)Responsibilities of Supervisors
  • 20、 M3-20 V(A)Diligenceand Reasonable basis-Guidance
  • 21、 M3-21 V(A)Diligenceand Reasonable basis-Cases
  • 22、 M3-22 V(B)Communication with clients+V(C)Record Retention
  • 23、 M3-23 VI(A)Disclosure of Conflicts
  • 24、 M3-24 VI(B)Priorityof Transaction+VI(C)Referral Fees
  • 25、 M3-25 VII(A)Conduct as members and candidates
  • 26、 M3-26 VII(B)Reference to CFAInstitute, Designation and Program
  
  

  第5课节    Module 4 Introduction to the Global Investment Performance Standar

  • 1、 M4-1 Introduction to the Global Investment
  
  

  第6课节    Module 5 Ethics Application

  • 1、 M5-1 Ethics Application
  • 2、 M5-2 Ethics Application
  • 3、 M5-3 Ethics Application
  • 4、 M5-4 Ethics Application
  • 5、M5-5 Ethics Application