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How to understand the meaning of misrepresentation?
How to identifying the actual investment client and voting proxy policies?
How to understand loyalty, prudence and care in duty to clients?
What they should pay attention to,when employees leaving employer?
How to understand the guidance for Standards I–VII?
What are the ethics and trust in the investment profession?
In analyzing investment, what should we do to making investment recommendations, and taking investment actions?
What’s the responsibility of supervisors?
How to deal with potential conflict of interest?
How to determine if an investment decision or investment proposal is suitable for clients?
What's the meaning of “Additional compensation”?
How to distinguish Material from nonpublic information?
How to understand the meaning of misrepresentation?
A misrepresentation is any untrue statement or omission of a fact or any statement that is otherwise false or misleading.
Must not knowingly, omit or misrepresent information or give a false impression of a entity, or security in oral representations, advertising, electronic communications, or written materials (whether publicly disseminated or not). (各种形式的不正当陈述都不行,书面报告即使没有发布也不行)
“Knowingly” means that either knows or should have known that the misrepresentation was being made or that omitted information could alter the investment decision‐making process.
Guidance ‐ Impact on Investment Practice
不允许保证收益,但若结构性产品本身是刚兑(保本)的,可以保证收益
禁止说大话,满嘴跑火车(Such as, we may provide all services)
雇佣第三方要进行披露,不能将第三方的业绩归于自己
Plagiarism policy:
Maintain copies: Keep copies of all research reports, articles containing research ideas, material with new statistical methodologies, and other materials that were relied on in preparing the research report.
Attribute quotations: Attribute to their sources any direct quotations, including projections, tables, statistics, model/product ideas, and new methodologies prepared by persons other than recognized financial and statistical reporting services or similar sources.(知名机构的数据不必引用)
Work Completed for Employer
Firm may issue future reports without attribution to prior analysts, but a member or candidate cannot issue under his name.
May use other people’s work within the same firm without committing a violation. (同一公司的报告不用引用)
When the original analyst leaves the firm, research and models developed while employed are the property of the firm. The firm retains the right to continue using them.
The firm may issue future reports without providing attribution to the prior analysts. A member or candidate cannot reissue a previously released report solely under his or her name.
What's the meaning of independence and objectivity in professionalism?:or consideration that reasonably could be expected to compromise their own or another’s independence and objectivity.(那些被合理认为将会影响独立客观的威逼利诱都要不为所动),但在他人眼中会影响独立性也不行)可能的话事先披露给雇主告诉雇主是为了引起雇主的同意
How to understand “misconduct”?:integrity,or competence. (任何不诚信的行为都是misconduct,or other disputes unrelated to professional ethics. (不能滥用该准则来解决私人问题):is violation. (如果没有做尽职调查就违反了misconduct准则),
What's the meaning of “market manipulation”?:distort prices or artificially inflate trading volume (扭曲价格、虚增交易量):with the intent tomisleadmarket participants. (目的是误导投资者):如果达到一定的交易量可以减少佣金如果这种利益归属于客户且披露了没有违反市场操纵准则)
How to understand the Code of ethics and trust in the investment profession?:I,Professionalism:II:IIIIVVVIVIIResponsibilities as a CFA member or candidate