2021年CFA一级道德大纲要求考生做到这些？是哪些呢？

发布时间：2020-06-24 09:34编辑：融跃教育CFA

2020年CFA一级道德需要考生学习的5个reading，那你知道每个reading需要考生做到的职业道德是什么吗？今天融跃的老师给你说说每个reading考生或者持证人还要做的的是哪些行为准则！

READING 1. ETHICS AND TRUST IN THE INVESTMENT PROFESSION
The candidate should be able to:

候选人应能够：
a explain ethics;解释道德：
b describe the role of a code of ethics in defining a profession;描述道德规范在定义职业方面的作用
c identify challenges to ethical behavior;确定对道德行为的挑战
d describe the need for high ethical standards in the investment industry;描述投资行业对高道德标准的需求；
e distinguish between ethical and legal standards;

区分道德和法律标准；
f describe and apply a framework for ethical decision making.

描述并应用道德决策框架。
READING 2. 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;

描述CFA协会专业行为计划的结构和实施准则和标准的过程；
b state the six components of the Code of Ethics and the seven Standards of Professional Conduct;

b说明道德守则的六个组成部分和七项职业行为标准；
c explain the ethical responsibilities required by the Code and Standards, including the sub-sections of each Standard.

c解释规范和标准要求的道德责任，包括每个标准的小节。
READING 3. 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;证明《道德守则》和《职业行为标准》适用于涉及职业操守问题的情况；
b distinguish between conduct that conforms to the Code and Standards and conduct that violates the Code and Standards;区分符合本准则和标准的行为和违反本准则和标准的行为；
c recommend practices and procedures designed to prevent violations of the Code of Ethics and Standards of Professional Conduct.建议旨在防止违反道德守则和职业行为标准的做法和程序。
READING 4. 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 standard sa apply to, and who is served by the standards;

解释为什么创建了GIPS标准，哪些方制定了GIPS标准适用于标准并由标准服务的人员；
b explain the construction and purpose of composites in performance reporting;说明性能报告中复合材料的结构和用途；
c explain the requirements for verification.说明验证要求。
READING 5. THE GIPS STANDARDS
The candidate should be able to:
a describe the key features of the GIPS standards and the fundamentals of compliance;说明全球投资政策标准的主要特点和合规的基本原则；
b describe the scope of the GIPS standards with respect to an investment firm's definition and historical performance record;说明与投资公司定义和历史业绩记录有关的全球投资政策标准的范围；
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;解释在现有业绩报告标准的国家如何执行全球投资政策标准，并说明在全球投资政策标准与当地法规冲突时的适当反应；
d describe the nine major sections of the GIPS standards.描述GIPS标准的九个主要部分。