特许金融分析师（CFA）全部考试大纲

包含18个STUDY SESSION

The readings in this study session present a framework for ethical conduct in
the investment profession by focusing on the CFA Institute Code of Ethics and
Standards of Professional Conduct as well as the Global Investment Performance
Standards (GIPS®).
The principles and guidance presented in the CFA Institute Standards of
Practice Handbook (SOPH) form the basis for the CFA Institute self-regulatory
program to maintain the highest professional standards among investment
practitioners. “Guidance” in the SOPH addresses the practical application of the
Code of Ethics and Standards of Professional Conduct. The guidance reviews the
purpose and scope of each standard, presents recommended procedures for
compliance, and provides examples of the standard in practice.
The Global Investment Performance Standards (GIPS) facilitate efficient
comparison of investment performance across investment managers and country
borders by prescribing methodology and standards that are consistent with a clear
and honest presentation of returns. Having a global standard for reporting
investment performance minimizes the potential for ambiguous or misleading
presentations.
READING ASSIGNMENTS
Reading 1 Code of Ethics and Standards of Professional Conduct
Standards of Practice Handbook, Ninth Edition
Reading 2 “Guidance” for Standards I-VII
Standards of Practice Handbook, Ninth Edition

LEARNING OUTCOMES
Reading 1: Code of Ethics and Standards of Professional Conduct
The candidate should be able to:
a. describe the structure of the CFA Institute Professional Conduct Program and the
process for the enforcement of the Code and Standards;
b. state the six components of the Code of Ethics and the seven Standards of
Professional Conduct;
c. explain the ethical responsibilities required by the Code and Standards, including
the multiple sub-sections of each Standard.
Reading 2: “Guidance” for Standards I-VII
The candidate should be able to:
a. demonstrate a thorough knowledge of the Code of Ethics and Standards of
Professional Conduct by applying the Code and Standards to situations involving
issues of professional integrity;
b. distinguish between conduct that conforms to the Code and Standards and
conduct that violates the Code and Standards;
c. recommend practices and procedures designed to prevent violations of the Code
of Ethics and Standards of Professional Conduct.
Reading 3: Introduction to the Global Investment Performance