2019年6月CFA一级百题预测_职业伦理_金程教育.pdfVIP免费

1-84此预测为考点预测，考题仅为复习参考内部使用资料，严禁传播，否则追究法律责任1.EthicsandProfessionalStandards1.1.EthicsandTrustintheInvestmentProfession(NEW)1.1.1.重要知识点1.1.1.1.Definition:EthicsTheguidingbeliefsoridealscharacterizingasocietyorsocietalgroup.EthicalconductBehaviorthatfollowsmoralprinciplesandbalancesself-interestwithboththedirectandtheindirectconsequencesofthebehavioronothers.CodeofethicsSpecificcommunitiesorsocietalgroupsinwhichweliveandworksometimescodifytheirbeliefsaboutobligatoryandforbiddenconductinawrittensetofprinciples,oftencalledacodeofethics.Servesasageneralguideforhowcommunitymembersshouldact.StandardsSomecommunitieswillalsoexpandontheircodesofethicsandadoptexplicitrulesorstandardsthatidentifyspecificbehaviorsrequiredofcommunitymembers.Serveasbenchmarksfortheminimallyacceptablebehaviorofcommunitymembersandcanhelpclarifythecodeofethics.1.1.1.2.ChallengestoethicalconductOverconfidencecanleadtofaultydecisionmaking.Situationalinfluenceshaveaverypowerfulandoftenunrecognizedeffectonourthinkingandbehavior.Externalfactors,suchasenvironmentalorculturalelements,thatshapesourthinking,decisionmaking,andbehavior.Factors:Money,Promotions,Prestige,Loyaltytoemployerandcolleagues,astrongcomplianceculture.1.1.1.3.TrustTrustistheveryfoundationofthefinancialmarkets.Reasons:ThenatureoftheclientrelationshipDifferencesinknowledgeandaccesstoinformationThenatureofinvestmentproductsandservices1.1.1.4.Effectsofethical&unethicalbehaviorEffectsofethicalbehavior:Leadtobroaderparticipationinthemarkets2-84此预测为考点预测，考题仅为复习参考内部使用资料，严禁传播，否则追究法律责任Protectionofclients’interestsMoreopportunitiesforinvestmentprofessionalsandtheirfirmsLeadtohigherlevelsofsuccessandprofitabilityEnjoylowerrelativecostsEffectsofunethicalbehavior:ErodesandcanevendestroytrustDiminishedtrustinfinancialmarketscanreducegrowthintheinvestmentindustryandtarnishthereputationoffirmsandindividualsintheindustry,e...