周教授CFA金融课程：2019 CFA LEVEL II Ethical and Professional Standards
STUDY SESSION 1Ethical and Professional
The readings in this study session address the CFA Institute Code of Ethics and
Standards of Professional Conduct (Code and Standards. The Code and Standards
provide guidance to help identify and resolve ethical conflicts present in everyday
activities in the investment profession. “Guidance” in the Standards of Practice
Handbook addresses the practical application of the Code and Standards by reviewing
the purpose and scope of each Standard, presenting recommended procedures for
compliance, and providing examples of the Standard in practice.
Reading 1 Code of Ethics and Standards of Professional Conduct
Reading 2 Guidance for Standards I–VII
STUDY SESSION 2Ethical and Professional
This study session uses case studies to illustrate the practical application of the CFA
Institute Code of Ethics and Standards of Professional Conduct (Code and Standards).
A number of fictional, but realistic, case studies of individuals facing ethical dilemmas
in their day-to-day activities are presented first. Each case includes a discussion on key
violations under the Code and Standards, recommendations for corrective actions,
and potential policy statements a firm might use to discourage similar violations. The
session concludes with an examination of two real world violations and the regulatory
actions taken in response to each. Analysis of each violation from the perspective of
the Code and Standards is provided.
Reading 3 Application of the Code and Standards
Reading 4 Trade Allocation: Fair Dealing and Disclosure