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2014年下半年CFA一级考试大纲（一）

来源：高顿网校 2014-05-26

　　Ethical and Professional Standards

　　The readings in this study session present a framework for ethical conduct in the investment profession by focusing on the CFA Institute Code of Ethics and Standards of Professional Conduct as well as the Global Investment Performance Standards (GIPS).

　　The principles and guidance presented in the CFA Institute Standards of Practice Handbook (Handbook) form the basis for the CFA Institute self-regulatory program to maintain the highest professional standards among investment practitioners. “Guidance” in the Handbook addresses the practical application of the Code of Ethics and Standards of Professional Conduct. The guidance expands upon the purpose and scope of each standard, presents recommended procedures for compliance, and provides examples of the standard in practice.

　　The Global Investment Performance Standards (GIPS) facilitate efficient compar?ison of investment performance across investment managers and country borders by prescribing methodology and standards that are consistent with a clear and honest presentation of returns. Having a global standard for reporting investment performance to prospective clients minimizes the potential for ambiguous or misleading presentations.

　　READING ASSIGNMENTS

　　Reading 1 Code of Ethics and Standards of Professional Conduct Standards of Practice Handbook, Tenth Edition

　　Reading 2 Guidance for Standards I-VII Standards of Practice Handbook, Tenth Edition

　　Reading 3 Introduction to the Global Investment Performance Standards (GIPS)

　　Reading 4 Global Investment Performance Standards (GIPS)

　　LEARNING OUTCOMES

　　READING 1. 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;

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

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

　　READING 2. 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;

　　b distinguish between conduct that conforms to the Code and Standards and conduct that violates the Code and Standards;

　　c recommend practices and procedures designed to prevent violations of the Code of Ethics and Standards of Professional Conduct.

　　READING 3. 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 standards apply to, and who is served by the standards;

　　b explain the construction and purpose of composites in performance reporting;

　　c explain the requirements for verification.

　　READING 4. THE GIPS STANDARDS

　　The candidate should be able to:

　　a describe the key features of the GIPS standards and the fundamentals of compliance;

　　b describe the scope of the GIPS standards with respect to an investment firm’s definition and historical performance record;

　　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;

　　d describe the nine major sections of the GIPS standards.

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　　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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