闭着眼学道德CFAIII-Ethics & Professional standards
主播：何旋CFA_ESG金融讲堂 播放：5.5万次最近更新: 2023-08-15
节目列表
正序 | 倒序
- 1Introduction-Learning tips of Ethics in Level III
- 2Code of Ethics and Standards of Practice-Code of Ethics
- 3Framework of Standards I-VII
- 4StandardI（A）KnowledgeOfTheLaw
- 5Standard I(B) Independence and Objectivity
- 6Standard I(C) Misrepresentation
- 7Standard I(D) Misconduct
- 8Standard II(A) Material Nonpublic Information
- 9Standard II(B) Market Manipulation
- 10Standard III(A) Loyalty, Prudence, and Care
- 11Standard III(B) Fair Dealing
- 12Standard III(C) Suitability
- 13Standard III(D) Performance Presentation
- 14Standard III(E) Preservation of Confidentiality
- 15Standard IV(A) Loyalty
- 16Standard IV(B) Additional Compensation Arrangements
- 17Standard IV(C) Responsibilities of Supervisors
- 18Standard V(A) Diligence and Reasonable Basis
- 19Standard V(B) Communication with Clients and Prospective Clients
- 20Standard V(C) Record Retention
- 21Standard VI(A) Disclosure of Conflicts
- 22Standard VI(B) Priority of Transactions
- 23Standard VI(C) Referral Fees
- 24Introduction of AMC
- 25Basic Concepts and General Principles of AMC
- 26Asset Manager Code-Loyalty to Clients
- 27Asset Manager Code- Investment Process and Actions
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