- 08:39
What aspect is loyalty embodied?:Should abstain from independent competitive activity that could conflict with the interests of their employer.:(从事独立业务需要向雇主披露并获得雇主同意):Misappropriation of trade secrets(盗窃交易秘密)
720播放2020-05-18 - 04:30
Where does performance presentation get embodied?:Not misrepresent past performance or reasonably expected performance. Not state or imply to obtain what was achieved in the past(不能明示或者暗示过去的业绩可以代表未来),可以使用以前公司的业绩。因为业绩表述需要资料的支持,
712播放2020-05-18 - 13:18
How to understand the meaning of misrepresentation?:advertising,书面报告即使没有发布也不行)”tablesstatisticsMay use other people’s work within the same firm without committing a violation. (同一公司的报告不用引用)
688播放2020-05-18 - 13:11
What should members and candidates do when communicating with client?:should notify clients that additional information and analyses are available upon request. (可以提供简易版报告:需要的话可以提供详细版):Comment,Comment
505播放2020-05-15 - 06:13
What’s the responsibility of supervisors?:does not relieve them of their supervisory responsibility. (可以转委托他人监管,但必须指示明确且对转委托负责),应拒绝承担监管者责任),
562播放2020-05-15 - 08:59
How to deal with potential conflict of interest?:不能直接或间接和研究的结果挂钩,Protect the integrity of opinions – unbiased opinion and adequate system.;
484播放2020-05-15 - 10:59
What's the meaning of “Additional compensation”?:their employer’s interest (该准则约束的是,如果收取相关好处:会影响雇主利益的情况)unless they obtain written consent from all parties involve.,CFA
528播放2020-05-15 - 11:00
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
476播放2020-05-15 - 04:34
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)
465播放2020-05-15 - 06:50
How to understand the Code of ethics and trust in the investment profession?:I,Professionalism:II:IIIIVVVIVIIResponsibilities as a CFA member or candidate
514播放2020-05-15