2008特许金融分析师（CFA）一级、二级、三级考试大纲

Study Session 2
Using examples and case studies, the readings in this study session show the
use of the CFA Institute Code of Ethics and Standards of Professional
Conduct as a body of principles for ethical reasoning and decision making. The
readings serve as effective aids in understanding and internalizing the values and
standards presented in the CFA Institute Standards of Practice Handbook. By
applying the Code and Standards to case study conflicts, the candidate will gain
experience identifying and explaining fundamental principles of conduct, which
then become tools for dealing with real world challenges.
The Asset Manager Code of Professional Conduct uses the basic tenets of the
CFA Institute Code of Ethics and Standards of Professional Conduct to establish
ethical and professional standards for firms managing client assets. The Asset
Manager Code of Professional Conduct also extends the Code and Standards to
address investment management firm practices regarding trading, compliance,
security pricing, and disclosure.
Reading 3: Ethics in Practice
The candidate should be able to:
a. summarize the ethical responsibilities required by each of the six provisions of the
Code of Ethics and the seven categories of the Standards of Professional Conduct;
b. interpret the Code of Ethics and Standards of Professional Conduct in situations
involving issues of professional integrity and formulate corrective actions where
appropriate.