CFA道德手册最新版standards of practice handbook(1).pdfVIP免费

STANDARDSOFPRACTICEHANDBOOK2014ELEVENTHEDITIONStandardsofPracticeHandbookELEVENTHEDITION2014©2014,2010,2006,2005,1999,1996,1992,1990,1988,1986,1985(supplement),1984,1982,byCFAInstituteAllrightsreserved.Nopartofthispublicationmaybereproducedortransmittedinanyformorbyanymeans,electronicormechanical,includingphotocopy,record-ing,oranyinformationstorageandretrievalsystem,withoutpermissionofthecopyrightholder.Requestsforpermissiontomakecopiesofanypartoftheworkshouldbemailedto:CopyrightPermissions,CFAInstitute,915EastHighStreet,Charlottesville,Virginia22902.CFA®,CharteredFinancialAnalyst®,CIPM®,Claritas®andGIPS®arejustafewofthetrademarksownedbyCFAInstitute.ToviewalistofCFAInstitutetrade-marksandtheGuidefortheUseofCFAInstituteMarks,pleasevisitourwebsiteatwww.cfainstitute.org.ISBN:978-0-938367-85-716June2014ContentsPreface...................................................................................................vEthicsandtheInvestmentIndustry.............................................................1CFAInstituteCodeofEthicsandStandardsofProfessionalConduct..................7StandardI:ProfessionalismA.KnowledgeoftheLaw...............................................................13B.IndependenceandObjectivity....................................................25C.Misrepresentation.....................................................................41D.Misconduct.............................................................................55StandardII:IntegrityofCapitalMarketsA.MaterialNonpublicInformation..................................................59B.MarketManipulation.................................................................75StandardIII:DutiestoClientsA.Loyalty,Prudence,andCare........................................................81B.FairDealing.............................................................................93C.Suitability..............................................................................103D.PerformancePresentati...