Ethics 部分
  Objective of codes and standard:永远是为了maintain publictrust in
  1.Financial market
 
  2.Investment profession
  6个code of ethics
  1.Code 1—ethics and pertinent dpersons
  a.
  2.Code 2---primacy of client’sinterest
  a.Integrity with investmentprofession
  b. 客户利益高于自身利益
  3.Code 3---reasonable andindependent
  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 theprofession
  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,要所有人共同去做
  5.Code 5---ethnical culture inthe capital market!
  a.促进整个capital market的integrity,推广其相关法规---增强公众对资本市场的trust!
  b.Capital market是基于
  i.Fairly pricing of risky assets;
  ii.Investors‘ confidence
  6.有关competence—能力---competence
  7个standard of professional conduct
  1.Standard 1---professionalism---knowledgeof law
  a.不需要成为法律专家,但是必须understand和comply with applicable law;
  b.当两个law发生conflict,则要遵守更加严格的法律!
  c.Knowingly---know or should know
  d.必须attempt to stop the violation, 如果不能stop, then must dissociatefrom the violation!必须从其中分离出去!
  i. Remove name from the writtenreport;
  ii. Ask for a different assignment
  e. 并不要求向有关部门report!(do not require)
  f. 向CFA 进行书面报告report--encouraged to so
  2.Standard 1 ---professionalism---integrity of capital market
  a.Bias from client or othergroups—listed company,controlling shareholder!
  b.Bias from sell side analyst
  c.Buyer side client—
  d.Issuer paid report---只能接受flat feefor their work
  e.
  3.Standard  1 ---professionalism---misinterpretation—不能误导客户, 不能剽窃其他人的研究成果
  
  
  高顿网校特别提醒:已经报名2013年CIMA考试的考生可按照复习计划有效进行!另外,高顿网校2013年CIMA考试辅导高清课程已经开通,通过针对性地讲解、训练、答疑、模考,对学习过程进行全程跟踪、分析、指导,可以帮助考生全面提升备考效果。
  报考指南:2013年CIMA考试备考指南
  考前冲刺:CIMA备考秘籍
  高清网课:CIMA考试网络课程