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How to understand the guidance for Standards I–VII?
Case:
which of the following is not a component of the CFA Institute Code of Ethics?
A. Promote financial integrity ad seek to prevent sand punish abuses in the financial markets
B. Practice and encourage others to practice in a professional ad ethical manner that will reflect credit on themselves and the profession
C. Place the integrity of the investment profession and the interests of clients above your own personal interests
[答案]A
[解析] Punishing abuse in the financial markets is not one of the six components of the Code of Ethics,CFA Level I
'Code of ethics,' CFA Institute
Section: The Code of Ethics
The Demand for Money:time.balances will tend to be inversely related to the expected return on other financial assets and directly related to the perceived risk of other financial assets.
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
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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