Professional Documents
Culture Documents
7 Chuẩn Mực
7 Chuẩn Mực
Professionalism
the law
A. Knowledge of
+
joinshit -jaitach
a
yo
ra
B. Independence objectivity
+
Do lapIshall quan
Tot what what
qua
-
Thi boJan
the
tragi co'sixed gi
+ DN
disclose:bascastragi
↓ Travel junding:fotwhathi
[ ↳thihaswhatstarano with declar
[ chi (shethe
thay in
C. MISPEPRESENTATION
-? de
wy'bisst, false impression, cheinco-cap....
-
o de bar
stain LNG the"
-
Bai as fringion
on
D. MISCONDUCT
Hanh ricaitrai
-Iquan dans tieng sax, thehieryou relate professional eye personal lid
to
Reflectadversely on
progressional life
-Damage trustworthiness or competence -
Law dung alcohol (wony' xong
otifain)
I
personal bankruptcy (lquan grand...
dung:
Lam CFA
-
-
Tin mate I do act / xuintact
-Material" song
innquin
tin
ca
clearly
specific
-
Non public:Tintettocho whom who aila non
public
-
Nekit hopPublic MINI material -=
viFans
-> Newi+Lain no public
+
4glia
+ separate firm
+
EXCEPTION:Marketmakers:inmatis the
->
glish a
jaipassive us it
Goichlai:Transaction-basedmanipulation
-
I can.It inficient-trade it
-
work in client's bestinterest
-noting:HSTnote in an
informed a responsible manner
-
Oversubscribed issue:Chiatheo tile.To
-
H gotin tragi:treatwhic client, transatcan
a
C. SUITABILITY
-
Reasonable inquiry the customers
- Follow IPS
itwhatannually
-
update IPS or
prior
material
to
change
-
YociKH = IPS:
+
Tifrong:Advise lsach isacp=nkH hiel v ok
xem
cy conjun
kHOk update IPS
-
update - trade
+
T;bry> :-
&kH=ok 1 = (m
nie
-
Nochiitrae which
trivan kH Sailtain
PRISENTATION
D. PERFORMANCE (< 1C7
-
credible
agai hislain
d dato
ngo y'veKN INgticQK
-
:
-
Nin apply GIPS
E. PRESERVATION OFCONFIDENTIALITY
p
I thatyou
IH cho gep
wait
intent-ataidiet.slain
CFA Y'c jap l pcho get
-
no
Ijaidatnghi m gox'duo
CASE:lain their ben trans hiis y)
-
ngoilcans
+ p transtha or
goixury or leis cty
↑
Now the bad y'=vain ban
cassep pcoriotin written consent
~
CASES:Aghivii
Viram:+ hesKH ai
-a chdeniy
ms mien:that a
② Nghir: -
-
Cothe" theHandelay" contactair trim lienhe
- Can caul trans
MNH: -trekhinghip'tha'sK
-
-
4's written consent tosep
C. RESPONSIBILITES TO SUPERVISORS
the
ensure with than gap hat
-
Kig:In to trains no
of mine
-
CASE: Hething'
quy
fine child dayi Bai sei
Tchor' van his platen Ishiotayoth
Respond
-
CASE:Vigan -
-
Reasonable cadequat basis, appropriate research a
investigation
per
group
Y
Macro hanchet
FA
duing quant
-
Id ba's ben to:ainjoty, 43: outside firm
as
-
So Das as quant:understand parameters, assumptiis, limitations.
[ testoutput in broad scope, can lchugenza
-
Create new quant techniques:- (achuyen a
Understand
-
technique aspects
- Nhafivan
-
-
Thelock to finangbasic format general principles
a
by
investmentprocess
Phiel factsopinion
↳ Mins has dayin qual tons chara
quy faith
it
↳ What cartip: -
fair access to shared ingor
-
Capsule forne (dangtom tat) v thas Hinchitic (I be'sais...
↳
adtrctery:will beging to be about to -> sai
-
-
-
A. DISCLOSUREOF CONFLICT -
+
Ownership of
stock
-Outside board
participation
Broder-dealer marketmaking
-
activid'es
↳ Best.And conflict
-
~ - avoid: t Must
fully disclose allow clients to judge
- I tryyour disclose
B. PRIORITY OF TRANSACTION:clients -
employers - MoC
↑
Complies with law
participation
- Restriction
↳
provide regular update (atleastquarterly
VII. RESPONSIBILITIES AS A CFA MoC
in a h)
conduct thatcompromise (hn validity, integrity
severity of
engage
--
CFA Institute
program
-
Membership:
-