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美国特许金融分析师CFA协会:50种方式让投资专业人员实践以重塑行业信誉

来源：高顿网校 2014-05-12

　　CFA Institute Integrity List:50 Ways to Restore Trust in the Investment Industry

　　The CFA Institute Integrity List is a collection of 50 tangible steps that investment professionals can take to restore trust in the industry. The list was inspired by “real-world” ideas from CFA charterholders and members.

　　Commit to a gold standard code of ethics and professional conduct [See CFA InstituteCode of Ethics and Standards of Professional Conduct].

　　Require training on ethical decision-making for yourself and your firm.

　　Place the client’s interests before your own.

　　Name and shame unethical behavior.

　　Recommend products with transparent payoffs, costs, and risks.

　　Help clients focus on risk as much as they do on performance.

　　Disclose your educational achievements and how you improve professional competence.

　　Strive for a conflict-free business model.

　　Advocate for stronger regulations that protect investors.

　　Act with integrity 24/7 – not just at the office.

　　Encourage young professionals to have the courage to disagree.

　　Keep client fees fair.

　　Be transparent with clients when something goes wrong.

　　Actively disclose all compensation arrangements to clients.

　　Lead by example with your firm and colleagues.

　　Write articles and speak publicly about ethics.

　　Act with fairness and prudence with every decision.

　　Present analysis based on facts and client needs.

　　Always be honest with clients.

　　Never overlook unethical behavior because you’re better served by ignorance.

　　Never engage in misleading sales promotions.

　　Mentor future investment industry professionals.

　　Vocally demand that your firm does what is right for clients.

　　Tip the balance between competing interests in favor of clients.

　　Outline exactly how you are managing a client’s funds.

　　Disseminate transparent, accurate and timely information.

　　Be clear about situational influences in your environment.

　　Base investment recommendations on strong analysis.

　　Adhere to high standards even if they are not required in your country.

　　Elevate the importance of integrity in the hiring process.

　　Disclose information in ways even novice investors can understand.

　　Adopt Global Investment Performance Standards.

　　Maintain regular contact with clients.

　　Openly share bad news with all who are affected.

　　Listen to clients’ concerns and fears.

　　Promote the concept of earning money rather than making money.

　　Create an ethical work culture that allows constructive criticism.

　　Bring an ethical dimension to discussions of business strategy.

　　Adopt the CFA Institute Asset Manager Code of Professional Conduct.

　　Remind junior associates that reputations are hard earned and easily lost.

　　Take responsibility for the actions of your team.

　　Use social media to comment about the values you uphold.

　　Act as an expert resource for journalists.

　　Refuse to associate with anyone who takes advantage of clients.

　　Bring to justice those who take part in irresponsible and illegal activities.

　　Recommend companies with fair practices and good corporate governance.

　　Advocate for technology that makes the industry more transparent.

　　Engage and build relationships with local regulators and policy makers.

　　Serve on committees that advocate for regulatory reform.

　　Become a member of CFA Institute and sign the required annual ethics statement.

　　扫一扫微信，*9时间获取2014年CFA考试报名时间和考试时间提醒

　　高顿网校特别提醒：已经报名2014年CFA考试的考生可按照复习计划有效进行！另外，高顿网校2014年CFA考试辅导高清网络课程已经开通，通过针对性地讲解、训练、答疑、模考，对学习过程进行全程跟踪、分析、指导，可以帮助考生全面提升备考效果。

　　报考指南：2014年CFA考试备考指南
　　免费题库：2014年CFA免费题库
　　考前冲刺：CFA备考秘籍
　　高清网课：CFA考试网络课程　　

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cfa备考热门问题解答

cfa证书就业岗位有哪些？: cfa考完后可以从事的工作包括公司会计、基金经理助理、投资管理师、股票研究分析师、基金分析师、投资产品分析师、券商助理分析师、交易员等。在全球范围内，cfa会员的雇主包括了摩根大通、汇丰银行等机构。

cfa考试内容有哪些？: cfa考试分为三个等级，cfa一级和二级考试科目包括《职业伦理道德》、《定量分析》、《经济学》、《财务报表分析》、《公司理财》、《投资组合管理》、《权益投资》、《固定收益投资》、《衍生品投资》、《其他类投资》。cfa三级考试科目包括《经济学》、《投资组合管理》、《权益投资》、《职业伦理道德》、《固定收益投资》、《其他类投资》、《衍生工具》。

cfa一年考几次？: cfa每年考试的次数每个级别均有不同，其中CFA一级考试每年设置四次，CFA二级考试每年设置三次，CFA三级考试每年设置两次。需注意，协会规定考生必须要按照CFA考试的三个级别，依次进行报考，且报考两个级别考试的窗口之前需至少间隔6个月。

cfa的含金量如何？: CFA证书全称Chartered Financial Analyst（特许注册金融分析师），是全球投资业里最为严格与高含金量资格认证，为全球投资业在道德操守、专业标准及知识体系等方面设立了规范与标准，具有较高的知名度和影响力。英国的国际学术认证中心，还将持有CFA证书视为拥有硕士学历水平，能让想进修的金融专业人士，充分学习等同于金融硕士的知识课程。此外，人民日报三年内连续四次推荐CFA证书！因此，无论是从国际知名度还是国内知名度来说，CFA资格认证的含金量和认可度都是非常高的。

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