育
教
顿
高
Reading1:CodeofEthicsandStandardsofProfessionalConduct
A.KnowledgeoftheLaw
B.IndependenceandObjectivity育
C.Misrepresentation教
D.Misconduct顿
2、
A.MaterialNonpublicInformation
高
B.MarketManipulation
Reading1:CodeofEthicsandStandardsofProfessionalConduct
A.Loyalty,Prudence,andCare
B.FairDealing
C.Suitability育
D.PerformancePresentation教
E.PreservationofConfidentiality
顿
4、
A.Loyalty高
B.AdditionalCompensationArrangements
C.ResponsibilitiesofSupervisors
Reading1:CodeofEthicsandStandardsofProfessionalConduct
A.DiligenceandReasonableBasis
B.CommunicationwithClientsandProspectiveClients
C.RecordRetention育
6、教
A.DisclosureofConflicts
顿
B.PriorityofTransactions
C.ReferralFees高
7、ResponsibilitiesasaCFAInstituteMemberorCFACandidate
A.ConductasParticipantsinCFAInstitutePrograms
B.ReferencetoCFAInstitute,theCFADesignation,andtheCFAProgram
Reading5:AssetManagerCodeofProfessionalConduct
A.LoyaltytoClients
B.InvestmentProcessandActions育
C.Trading教
D.RiskManagement,Compliance,andSupport
E.PerformanceandValuation
顿
F.Disclosures