CFA一级 Ethical and Professional Standards 微课堂

此次，邬博士讲课的核心内容主要包含两个部分：即Ethical and Professional Standards的考点解析以及CFA Ethics第十一版Handbook改变总结。具体内容，小编先剧透一些喽！！

Ethics考点

俗话说：最可悲的人就是在错误的道路上不断努力的人。方向不对，意味着从一开始你就输了！因此，对于Ethics的学习，不仅需要你起早贪黑的记忆，更需要你有针对性的选择记忆，对此，邬博士给出了该部分的知识框架以及重要考点，大家需给予足够的关注！

视频中，邬博士会对这些考点进行详尽的解析，对知识点进行详细标注，所以，大家快点击文章下方二维码，深入学习吧！！

Ethics Handbook

2015年CFA一级二级三级考纲里有一个重大改变，就是ethics的参考书由第10版handbook改为第11版handbook。由于handbook内容很多，不熟悉ethics的同学会对第11版到底有何改变摸不着头脑，而ethics的部分对CFA一二三级都很重要，所以邬博士把考纲的变化全部总结了一遍。这里小编摘出部分和大家共享，希望能够对大家准备考试有所帮助。

1Updated Code of Ethics Principle

Old:

Promote the integrity of and uphold the rules governing capital markets.

New:

Promote the integrity and viability of the global capital markets for the ultimate benefit of society.

2New Standard Regarding Responsibilities of Supervisors[IV(C)]

Old:

Members and Candidates must make reasonable efforts to detect and prevent violations of applicable laws,rules,regulations,and the Code and Standards by anyone subject to their supervision or authority.

New:

Members and Candidates must make reasonable efforts to ensure that anyone subject to their supervision or authority complies with applicable laws,rules,regulations,and the Code and Standards.

3Additional Requirement under the Standard for Communication with Clients and Prospective Clients[V(B)]

Addition:

Disclose to clients and prospective clients significant limitations and risks associated with the investment process.

4Modification to Standard[VII(A)]

Old:

Conduct as Members and Candidates in the CFA Program

Members and Candidates must not engage in any conduct that compromises the reputation or integrity of CFA Institute or the CFA designation or the integrity,validity,or security of the CFA examinations.

New:

Conduct as Participants in CFA Institute Programs

Members and Candidates must not engage in any conduct that compromises the reputation or integrity of CFA Institute or the CFA designation or the integrity,validity,or security of CFA Institute programs.