Kaplan被公认为金融领域中全球有实力的内容和培训提供商。CFA·资格认证应考秘籍（Kaplan Schweser CFA· Secret Sauce）（Ⅰ级）（2016版），根据2016年CFA协会出版的官方教材和全新考纲编写；紧扣CFA考试知识重点，深度提炼精华例题，形成绝密备考秘籍；目前全球的CFA考生都选择kaplan出版的Secret Sauce备考秘籍。

作者简介

Kaplan，隶属Graham Holdings——纽交所上市的多元化教育和传媒公司，年收入约40亿美金——Kaplan教育集团下设高等教育、测试准备和专业教育等业务板块，每年为120万名学生提供服务，业务遍布世界30多个国家，是提供终身教育的大型国际教育集团。

作为世界知名的备考服务商， Kaplan提供超过90种标准考试辅导服务，每年为超过400000名学生、个人或企业提供专业的考试培训。

在金融领域， Kaplan被公认为全球有实力的内容和培训提供商。

精彩书摘

Ethical and Professional Standards

Study Session 1

Weight on Exam 15%

SchweserNotes· Reference Book 1, Pages 1–52

Ethics is 15% of the Level I examination and is extremely important to your overall success (remember, you can fail a topic area and still pass the exam, but we wouldn’t recommend failing Ethics). Ethics can be tricky, and small details can be important on some ethics questions. Be prepared.

In addition to starting early, study the ethics material more than once. Ethics is one of the keys to passing the exam.

Standards of Practice Handbook

Cross-Reference to CFA Institute Assigned Readings #1 & 2

We recommend you read the original Standards of Practice Handbook. Although we are very proud of our reviews of the ethics material, there are two reasons we recommend you read the original Standards of Practice Handbook (11th Ed., 2014). (1) You are a CFA· candidate. As such, you have pledged to abide by the CFA Institute· Standards. (2) Most of the ethics questions will likely come directly from the text and examples in the Standards of Practice Handbook. You will be much better off if you read both our summaries of the Standards and the original Handbook and all the examples presented in it.

The CFA Institute Professional Conduct Program is covered by the CFA Institute Bylaws and the Rules of Procedure for Proceedings Related to Professional Conduct. The Disciplinary Review Committee of the CFA Institute Board of Governors has overall responsibility for the Professional Conduct Program and enforcement of the Code and Standards.

CFA Institute, through the Professional Conduct staff, conducts inquiries related to professional conduct. Several circumstances can prompt such an inquiry:

Self-disclosure by members or candidates on their annual Professional Conduct Statements of involvement in civil litigation or a criminal investigation, or that the member or candidate is the subject of a written complaint.

Written complaints about a member or candidate’s professional conduct that are received by the Professional Conduct staff.

Evidence of misconduct by a member or candidate that the Professional Conduct staff received through public sources, such as a media article or broadcast.

A report by a CFA exam proctor of a possible violation during the examination.

Analysis of exam scores and materials and monitoring of websites and social media by CFA Institute.

Once an inquiry is begun, the Professional Conduct staff may request (in writing) an explanation from the subject member or candidate, and may:

Interview the subject member or candidate.

Interview the complainant or other third parties.

Collect documents and records relevant to the investigation.

The Professional Conduct staff may decide:

That no disciplinary sanctions are appropriate.

To issue a cautionary letter.

To discipline the member or candidate.

In a case where the Professional Conduct staff finds a violation has occurred and proposes a disciplinary sanction, the member or candidate may accept or reject the sanction. If the member or candidate chooses to reject the sanction, the matter will be referred to a panel of CFA Institute members for a hearing. Sanctions imposed may include condemnation by the member’s peers or suspension of the candidate’s continued participation in the CFA Program.

Code and Standards

Questions about the Code and Standards will most likely be application questions. You will be given a situation and be asked to identify whether or not a violation occurs, what the violation is, or what the appropriate course of action should be. You are not required to know the Standards by number, just by name.

One of the first Learning Outcome Statements (LOS) in the Level I curriculum is to state the six components of the Code of Ethics. Candidates should memorize the Code of Ethics.

Members of the CFA Institute [including Chartered Financial Analyst· (CFA·) charterholders] and candidates for the CFA designation (Members and Candidates) must:

Act with integrity, competence, diligence, and respect and in an ethical manner with the public, clients, prospective clients, employers, employees, colleagues in the investment profession, and other participants in the global capital markets.

Place the integrity of the investment profession and the interests of clients above 包邮 CFA 资格认证应考秘籍（Ⅰ级）（2016版）中信出版社下载 mobi epub pdf txt 电子书格式