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How to understand loyalty, prudence and care in duty to clients?
Must keep information about current, former, and prospective clients confidential unless:
The information concerns illegal activities on the part of the client, may have an obligation to report the activities to the appropriate authorities;
Disclosure is required by law; or
The client or prospective client permits disclosure of the information.(在法律允许或客户同意的情况下可以披露)
Must continue to maintain the confidentiality of client records even after the client relationship has ended. If a client or former client expressly authorizes the disclosure, may follow the terms of the authorization and provide the information.
Compliance with Laws
As a general g matter, must comply with applicable law.
If applicable law requires disclosure of client information in certain circumstances, members and candidates must comply with the law.(在某些情况下法律要求,就必须披露)
If applicable law requires maintaining confidentiality, even if the information concerns illegal activities on the part of the client, should not disclose. (法律要求保密,即使违法也要保密)
When in doubt, should consult with compliance personnel or legal counsel before disclosing confidential information about clients.
Members and Candidates have a duty of loyalty to their clients and must act with reasonable care and exercise prudent judgment. (要有合理的审慎和慎重的判断)
Must act for the benefit of their clients and place their clients’ interests before their employer’s or their own interests. (把客户的利益放在雇主之前,自己之前)
Must place clients' interests before their own.
Capital market > Clients > Employer > Self
Any pooling of funds must be managed in strict accordance to the trust documents. (信托资产的管理必须严格遵守信托文件)
What are the responsibilities of the members in reference to the CFA Institute?:Once accepted as a member:每年交述职报告和年费but must not over promise the competency and future investment results.Case
What members and candidates should notice in CFA examinations?:or security of the CFA examinations.(不能恶心CFA),考试不能作弊:考试内容要保密:A. No.:Responsibilities as a CFA Institute Member.right④Case
How to identifying the actual investment client and voting proxy policies?:管理个人资产→资产所有人就是客户”管理信托资产→信托的最终受益人才是客户。要求公司的养老金管理人使用万科的养老金收购本公司股票,以资本增值为目的的买入行为是合理的。养老金管理人认为万科未被低估,
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