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Standard I -Standard III 部分详解

作者:admin 文章来源:CFA培训 点击数: 更新时间:2013-01-06 11:38

Standard I: Fundamental Responsibilities

准则I:基本责任

Members shall:
成员必须做到:

A.Maintain knowledge of and comply with all applicable laws, rules, and regulations (including AIMR’s Code of Ethics and Standards of Professional Conduct) of any government, governmental agency, regulatory organization, licensing agency, or professional association governing the members’ professional activities.

了解并遵守任何政府、政府机构、监管机构、执照管理机构或对协会成员的专业活动拥有管辖权的专业协会所颁布的一切有关法律、规则和条例(包括《AIMR 之道德操守和专业行为准则》。)

B.AIMR members may reference their membership only in a dignified and judicious manner. The use of the reference may be accompanied by an accurate explanation of the requirements that have been met to obtain membership in these organizations.

不故意参与或协助任何违反上述法律、规则或条例之行为。
 

Standard II: Relationships with and Responsibilities to the Profession

准则II:与本行业之关系及所承担之责任

A.Use of Professional Designation.

使用专业名衔。
  1. AIMR members may reference their membership only in a dignified and judicious manner. The use of the reference may be accompanied by an accurate explanation of the requirements that have been met to obtain membership in these organizations.
AIMR 成员必须明智地使用其成员身份,维护其尊严。在使用成员身份时,可附带对获得成员身份之要求加以准确的说明。
  1. Those who have earned the right to use the Chartered Financial Analyst designation may use the marks “Chartered Financial Analyst” or “CFA” and are encouraged to do so, but only in a proper, dignified, and judicious manner. The use of the designation may be accompanied by an accurate explanation of the requirements that have been met to obtain the right to use the designation.
协会鼓励已经获得授权使用“特许财经分析师”名衔之成员使用“特许财经分析师”或“CFA”标志,但使用方式必须得当、明智、有助于维护此名衔之尊严。使用此名衔时,可附带对获得使用此名衔所需达到之要求加以准确的说明。
  1. Candidates in the CFA Program, as defined in the AIMR Bylaws, may reference their participation in the CFA Program, but the reference must clearly state that an individual is a candidate in the CFA Program and cannot imply that the candidate has achieved any type of partial designation.
符合AIMR 组织细则所规定的CFA课程考生,可宣称自己参加了CFA课程,但必须明确说明其仅为该课程考生,而不得暗示已经在某种程度上获得任何专业资格。

B.Professional Misconduct.

违反专业准则的行为。
  1. Members shall not engage in any professional conduct involving dishonesty, fraud, deceit, or misrepresentation or commit any act that reflects adversely on their honesty, trustworthiness, or professional competence.
成员在从事专业活动时不得有不诚实、欺诈、欺骗、歪曲事实或任何损害其诚信或专业能力之行为。
  1. Members and candidates shall not engage in any conduct or commit any act that compromises the integrity of the CFA designation or the integrity or validity of the examinations leading to the award of the right to use the CFA designation.
成员和考生均不得参与或从事任何损害CFA名衔之声誉的行为,亦不得损害CFA资格考试之信誉或有效性。

C.Prohibition against Plagiarism.

严禁抄袭。
Members shall not copy or use, in substantially the same form as the original, material prepared by another without acknowledging and identifying the name of the author, publisher, or source of such material. Members may use, without acknowledgment, factual information published by recognized financial and statistical reporting services or similar sources.
在未说出或鸣谢作者姓名、出版商或资料来源时,成员不得引用或使用他人所编写的资料或与原文基本相同的资料。成员在使用公认的财务和统计报告服务机构所发布的确实资料或类似之资料来源时,无须指出资料来源或鸣谢。
 

Standard III: Relationships with and Responsibilities to the Employer

准则III:与雇主之关系及所承担之责任

A.Obligation to Inform Employer of Code and Standards.

向雇主通告《道德操守和专业行为准则》之义务。
Members shall:
成员必须:

  1. Inform their employer in writing, through their direct supervisor, that they are obligated to comply with the Code and Standards and are subject to disciplinary sanctions for violations thereof.
以书面形式通过直接上级通知雇主:成员有义务遵守《道德操守和专业行为准则》,如有违反,将受到纪律处分。
  1. Deliver a copy of the Code and Standards to their employer if the employer does not have a copy.
如果雇主没有上述之《道德操守和专业行为准则》副本,则必须向雇主提供副本。

B.Duty to Employer.

对雇主应尽职务。
Members shall not undertake any independent practice that could result in compensation or other benefit in competition with their employer unless they obtain written consent from both their employer and the persons or entities for whom they undertake independent practice.
成员不得在雇主和作为独立工作对象之人仕或公司书面应允前,从事任何可能与雇主利益冲突,且导致额外报酬或其他福利之独立工作。

C.Disclosure of Conflicts to Employer.

向雇主披露利益冲突。
Members shall:
成员必须:

  1. Disclose to their employer all matters, including beneficial ownership of securities or other investments, that reasonably could be expected to interfere with their duty to their employer or ability to make unbiased and objective recommendations.
向雇主披露可能影响其履行对雇主应尽职务或提出公正、客观建议之能力的一切事项,包括证券或其他投资的所有权益。
  1. Comply with any prohibitions on activities imposed by their employer if a conflict of interest exists.
如果存在利益冲突,不可从事雇主所禁止的活动。

D.Disclosure of Additional Compensation Arrangements.

披露职务外之报酬安排。
Members shall disclose to their employer in writing all monetary compensation or other benefits that they receive for their services that are in addition to compensation or benefits conferred by a member’s employer.
成员必须以书面形式向雇主披露其因向第三者提供服务所获得的其他额外报酬。

E.Responsibilities of Supervisors.

作为上级之责任。
Members with supervisory responsibility, authority, or the ability to influence the conduct of others shall exercise reasonable supervision over those subject to their supervision or authority to prevent any violation of applicable statutes, regulations, or provisions of the Code and Standards. In so doing, members are entitled to rely on reasonable procedures designed to detect and prevent such violations.负有上级职责、权力或有能力影响他人行为的成员,应适当监督受其监督或管辖之人员,以防发生任何违反有关法律、条例或《道德操守和专业行为准则》内各条文之行为。履行此项职责时,成员有权利用旨在揭发和预防违规行为之合理程序。

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