08:39
What aspect is loyalty embodied?:Should abstain from independent competitive activity that could conflict with the interests of their employer.:(從事獨立業務需要向雇主披露并獲得雇主同意):Misappropriation of trade secrets(盜竊交易秘密)
702播放2020-05-1804:30
Where does performance presentation get embodied?:Not misrepresent past performance or reasonably expected performance. Not state or imply to obtain what was achieved in the past(不能明示或者暗示過去的業績可以代表未來),可以使用以前公司的業績。因為業績表述需要資料的支持,
701播放2020-05-1813:18
How to understand the meaning of misrepresentation?:advertising,書面報告即使沒有發布也不行)”tablesstatisticsMay use other people’s work within the same firm without committing a violation. (同一公司的報告不用引用)
679播放2020-05-1813:11
What should members and candidates do when communicating with client?:should notify clients that additional information and analyses are available upon request. (可以提供簡易版報告:需要的話可以提供詳細版):Comment,Comment
500播放2020-05-1506:13
What’s the responsibility of supervisors?:does not relieve them of their supervisory responsibility. (可以轉委托他人監管,但必須指示明確且對轉委托負責),應拒絕承擔監管者責任),
552播放2020-05-1508:59
How to deal with potential conflict of interest?:不能直接或間接和研究的結果掛鉤,Protect the integrity of opinions – unbiased opinion and adequate system.;
473播放2020-05-1510:59
What's the meaning of “Additional compensation”?:their employer’s interest (該準則約束的是,如果收取相關好處:會影響雇主利益的情況)unless they obtain written consent from all parties involve.,CFA
519播放2020-05-1511:00
What's the meaning of independence and objectivity in professionalism?:or consideration that reasonably could be expected to compromise their own or another’s independence and objectivity.(那些被合理認為將會影響獨立客觀的威逼利誘都要不為所動),但在他人眼中會影響獨立性也不行)可能的話事先披露給雇主告訴雇主是為了引起雇主的同意
467播放2020-05-1504:34
What's the meaning of “market manipulation”?:distort prices or artificially inflate trading volume (扭曲價格、虛增交易量):with the intent tomisleadmarket participants. (目的是誤導投資者):如果達到一定的交易量可以減少傭金如果這種利益歸屬于客戶且披露了沒有違反市場操縱準則)
457播放2020-05-1506:50
How to understand the Code of ethics and trust in the investment profession?:I,Professionalism:II:IIIIVVVIVIIResponsibilities as a CFA member or candidate
508播放2020-05-15