CFA一级知识点总结 Ethics 部分 Objective of codes and standard：永远是为了maintain public trust in 1. Financial market 2. Investment profession 6个code of ethics 1. Code 1—ethics and pertinent d persons a. 2. Code 2---primacy of client’s interest a. Integrity with investment profession b. 客户利益高于自身利益 3. Code 3---reasonable and independent a. 必须注意reasonable care b. 必须exercise independent professional judgment---必须独立判断！ 4. Code 4---ethical culture in the profession a. 不但自己要practice， 而且要鼓励别人practice—不仅仅是自己一个人去做，
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人生何其短暂，用两个月的生命去通过一项考试那绝对是种十足的浪费，但既然你已 经被骗入了 CFA 这个沼泽中，既然你已经做好了人财两空的准备，既然你已经@#￥%&， 那么请不要在查分时刻默默地留下那屈辱的眼泪。 低盛总裁王小三： “看过 3.5 的《CFA 一级那些事》 ，那绝对是屋漏偏逢不下雨，船迟只 觉背来风。 ” 摩根.华伦天奴全球高级副总裁迈克尔.贝 克 汉 姆 ： “闹事呢？这不是砸 CFA 场子么？” 考试有风险，复习需谨慎 ——张三点五丰 3.5feng@gmail.com 一、本文适用范围： 1、 全文适用于准备 CFA1 的在校学生不限专业。 2、 全文适用于准备 CFA1 有 3 个月以上准备时间的在职人员。 3、 部分适用于准备 CFA1 不符合以上两条的考生 4、 CFA2、3 级考生请绕道。 二、作者背景 1. 学历：低于北京 TP 二校的理工科本科 2. 复习时间：2 个月左右的脱产复习 3. 复习方式：在南京某知名高校内与两名 candidate 一起复习 4. 复习遍数：大概 notes2.5 遍。习题 3 遍 5. 考试成绩：除 alternative investment B，其余 A 6. 考试用时：上午 1 小时 20 分钟，下午
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By Dr. Ken Feng Figure 1: Differences in framework Framework Purpose of framework Objective financial statements Assumption Qualitative characteristics Relevance and reliability are the primary characteristics. the US GAAP IFRS Require management to consider the framework if no explicit standard exists on an issue. Present different objectives for business and non-business financial statement reporting Have one objective for both. of Place more emphasis on the going concern assumption. Relevance
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be able to demonstrate a thorough knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct, familiarity with the Global Investment Performance Standards, and familiarity with corporate governance issues and risks affecting companies. Study Session 1 Ethical and Professional Standards Reading Assignments 1.* “Code of Ethics and Standards of Professional Conduct” Standards of Practice Handbook, 9th edition (CFA Institute, 2005) * 2. “Guidance” for Standards I
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www.thetestpreps.com CRITICAL CONCEPTS FOR THE 2014 CFA® Approximation formula for nominal required rate: ExAM Exprctrd return, variance of2-S1ock portfolio: THICAL AND PROFESSIONAL ANDARDS Professionalism Knowledge of the Law, Independence and Objectiviry Misrepresentation. Misconduct. Inregrity of Capiml Markers Material Nonpublic Information. Market Manipulation. Duties to Clients Loyalty. Prudence. and Care. Fair Dealing. Suitability, Performance Presentation. Preservation of Confidenrialiry
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2016 Level I Mock Exam: Afternoon Session The afternoon session of the 2016 Level I Chartered Financial Analyst (CFA®) Mock Examination has 120 questions. To best simulate the exam day experience, candidates are advised to allocate an average of 1.5 minutes per question for a total of 180 minutes (3 hours) for this session of the exam. Topic Minutes 1-18 Ethical and Professional Standards 27 19-32 Quantitative Methods 21 33-44 Economics 18 45-68 Financial
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sflno te ueu if Tp fr a dd ts iso cn iae Atr od f wr e 1 4 1 0 2 2 5 5 6 6 7 1 8 9 9 7 Guide for the CFA exam by TimePrep PREFACE Welcome to the world of the CFA program! Since you're reading this, it is likely that you are a CFA candidate, or you are considering becoming one. Either way, we hope that you will find this book helpful. The general idea behind this book is to offer CFA candidates useful advice, written by other CFA candidates and charter holders. There are several segments
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CFA INSTITUTE RESEARCH CHALLENGE OFFICIAL RULES 2017 1 RULE 1: INTRODUCTION AND GENERAL PROVISIONS .................................................................................................. 3 1.1 CONFLICTS OF INTEREST.................................................................................................................................................. 3 1.2 PLAGIARISM ....................................................................................................
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LEVEL III Question: Topic: Minutes: 1 Individual PM (IPS and Human Capital) 27 Reading References: Level III, Volume 2, Study Session 4, Reading 10 “Managing Individual Investor Portfolios,” Ch. 2, James W. Bronson, CFA, Matthew H. Scanlan, CFA, and Jan R. Squires, CFA, Managing Investment Portfolios: A Dynamic Process, Third Edition (CFA Institute, 2007). Level III, Volume 2, Study Session 4, Reading 14 “Lifetime Financial Advice: Human Capital, Asset Allocation, and Insurance,” Roger G. Ibbotson
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Personal, Learning & Thinking Skills Guidance for Young Apprenticeship in Business & Administration Value of Personal, Learning and Thinking Skills (PLTS) The Council for Administration (CfA) has identified the importance of this framework through extensive research with employers and higher education. Feedback from the recent employer evaluation of the Young Apprenticeship in Business & Administration highlighted that attitudes and behaviours needed to be further developed in Young Apprentices
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