自2015年开始,CFA协会正式启用第11版职业伦理Handbook,而上一版Handbook陪伴考生度过了三个年头,那么对于新一版的职业伦理手册,究竟同旧版有哪些区别呢?
  相较第10版,第11版Handbook在内容和结构上都发生了重大改变。在内容上新增了一些知识点,新增并删减了一些案例。同时对原有一些条款的结构作了修正。其中IV(C) Responsibility of supervisor这一条款变动较大。
  总体来说新增加的部分主要强调随着科技进步,关于“社会媒体”的应用这一方面。针对新增的知识点,所对应的例题也增加了不少,相信在考试上会侧重于这些新内容。同时也对某一些知识点进行了补充,使其更加严密。
  例如:
  Guidance
  Members and candidates must understand the applicable laws and regulations of the countries and jurisdictions where they engage in professional activities. These activities may include, but are not limited to, trading of securities, providing investment advice, conducting research, or other investment services. On the basis of their reasonable and good faith understanding, members and candidates must comply with the laws and regulations that directly govern their work and its outcome and that protect the interests of the clients.
  新变动知识点:两层意思,*9,强调了members和candidates必须理解他们从事专业工作的国家和管辖区域的法律和法规。第二,在理解的基础上,members和candidates必须遵循直接监督管理他们工作和结果的法律和法规,并且保护客户的利益。和第十版相比,大致意思不变,只是稍微详细了一些。
  2014年7月1日CFA协会发表了*7版CFA道德手册Ethics (11th Edition),自2015年起全球CFA考生将统一使用第11版CFA考试Handbook。
  The eleventh edition of the Standards of Practice Handbook contains the CFA Institute Code of Ethics and Standards of Professional Conduct with related guidance and examples illustrating application of the Standards in the day-to-day professional activities of members and candidates. The eleventh edition guidance and provisions are effective 1 July 2014.