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CFA Institute - 2019 CFA Program Curriculum Level I, Volumes 1-6

CFA

2019

官方

Level1

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无法上传到百度文库，在这分享给大家 CFA Level I 教材名称： Volume 1： Ethical and professional Standards, Quantitative Methods Volume 2： Economics Volume 3： Financial Statement Volume 4： Corporate Finance and Portfolio Management Volume 5： Equity and Fixed Income Volume 6： Derivatives and Alternative Investment CFA一级教材名称译：第1卷：道德和专业标准，定量分析方法第2卷：经济学第3卷：财务报表第4卷：公司财务和投资组合管理第5卷：股票和固定收益第6卷：衍生工具和另类投资

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2019

CFA

PROGRAM

CURRICULUM

LEVEL I

VOLUMES 1-6

Please visit our website at

www.WileyGlobalFinance.com.

is copyright covers material written expressly for this volume by the editor/s as well

as the compilation itself. It does not cover the individual selections herein that rst

appeared elsewhere. Permission to reprint these has been obtained by CFA Institute

for this edition only. Further reproductions by any means, electronic or mechanical,

including photocopying and recording, or by any information storage or retrieval

systems, must be arranged with the individual copyright holders noted.

CFA®, Chartered Financial Analyst®, AIMR-PPS®, and GIPS® are just a few of the trade-

marks owned by CFA Institute. To view a list of CFA Institute trademarks and the

Guide for Use of CFA Institute Marks, please visit our website at www.cfainstitute.org.

is publication is designed to provide accurate and authoritative information in regard

to the subject matter covered. It is sold with the understanding that the publisher

is not engaged in rendering legal, accounting, or other professional service. If legal

advice or other expert assistance is required, the services of a competent professional

should be sought.

All trademarks, service marks, registered trademarks, and registered service marks

are the property of their respective owners and are used herein for identication

purposes only.

ISBN 978-1-946442-07-9 (paper)

ISBN 978-1-946442-31-4 (ebk)

10 9 8 7 6 5 4 3 2 1

ETHICAL AND

PROFESSIONAL

STANDARDS AND

QUANTITATIVE

METHODS

CFA

Program Curriculum

2019

•

LEVEL I

•

VOLUME 1

indicates an optional segment

CONTENTS

How to Use the CFA Program Curriculum ix

Curriculum Development Process ix

Organization of the Curriculum x

Features of the Curriculum x

Designing Your Personal Study Program xi

Feedback xiii

Ethical and Professional Standards

Study Session 1 Ethical and Professional Standards 3

Reading 1 Ethics and Trust in the Investment Profession 5

Introduction 5

Ethics 6

Ethics and Professionalism 9

Challenges to Ethical Conduct 11

The Importance of Ethical Conduct in the Investment Industry 15

Ethical vs. Legal Standards 17

Ethical Decision- Making Frameworks 20

Applying the Framework 22

Conclusion 27

Summary 28

Practice Problems 29

Solutions 30

Reading 2 Code of Ethics and Standards of Professional Conduct 33

Preface 33

Evolution of the CFA Institute Code of Ethics and Standards of

Professional Conduct 34

Standards of Practice Handbook 34

Summary of Changes in the Eleventh Edition 35

CFA Institute Professional Conduct Program 37

Adoption of the Code and Standards 38

Acknowledgments 38

Ethics and the Investment Industry 39

Why Ethics Matters 39

CFA Institute Code of Ethics and Standards of Professional Conduct 43

Preamble 43

The Code of Ethics 44

Standards of Professional Conduct 44

Reading 3 Guidance for Standards I–VII 49

StandardI: Professionalism 49

StandardI(A) Knowledge of the Law 49

Guidance 49

ii Contents

indicates an optional segment

Recommended Procedures for Compliance 54

Application of the Standard 55

StandardI(B) Independence and Objectivity 58

Guidance 58

Recommended Procedures for Compliance 63

Application of the Standard 64

StandardI(C) Misrepresentation 71

Guidance 71

Recommended Procedures for Compliance 74

Application of the Standard 76

StandardI(D) Misconduct 81

Guidance 81

Recommended Procedures for Compliance 82

Application of the Standard 82

StandardII: Integrity of Capital Markets 84

StandardII(A) Material Nonpublic Information 84

Guidance 84

Recommended Procedures for Compliance 88

Application of the Standard 91

StandardII(B) Market Manipulation 96

Guidance 96

Application of the Standard 97

StandardIII: Duties to Clients 101

StandardIII(A) Loyalty, Prudence, and Care 101

Guidance 101

Recommended Procedures for Compliance 105

Application of the Standard 106

StandardIII(B) Fair Dealing 110

Guidance 110

Recommended Procedures for Compliance 112

Application of the Standard 114

StandardIII(C) Suitability 118

Guidance 118

Recommended Procedures for Compliance 121

Application of the Standard 122

StandardIII(D) Performance Presentation 125

Guidance 125

Recommended Procedures for Compliance 126

Application of the Standard 126

StandardIII(E) Preservation of Condentiality 129

Guidance 129

Recommended Procedures for Compliance 131

Application of the Standard 131

StandardIV: Duties to Employers 133

StandardIV(A) Loyalty 133

Guidance 133

Recommended Procedures for Compliance 137

Application of the Standard 137

StandardIV(B) Additional Compensation Arrangements 144

剩余3637页未读，继续阅读

wzx0107

2019-04-29

非常好，英文文字原版，目录完好

<insert id="insertCurriculumStudyUse" parameterType="list" useGeneratedKeys="true" keyProperty="list.study_use_id"> insert ignore into exam_curriculum_study_use(curriculum_id,company_id,user_id,end_time,create_by,create_time) values <foreach item="item" index="index" collection="list" separator=","> (#{item.curriculumId},#{item.companyId},#{item.userId},#{item.endTime},#{item.createBy},#{item.createTime}) </foreach> </insert>

这段代码是一个 MyBatis 的 SQL 插入语句，通过参数列表 list 插入数据到 exam_curriculum_study_use 数据表中。其中每个元素 item 包含了 curriculum_id、company_id、user_id、end_time、create_by、create_time 等属性值。useGeneratedKeys="true" 表示使用数据库生成的主键，ke

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