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R58: GUIDANCE FOR STANDARD I TO VII (Nhớ coi note thêm) - Coggle Diagram
R58: GUIDANCE FOR STANDARD I TO VII
(Nhớ coi note thêm)
I. PROFESSIONALISM
I(B). Independence and Objectivity
(Không nhận quà)
a. Buy-Side Clients
b. Fund Manager and Custodial Relationships (... và lưu ký)
c. Investment-Banking Relationships
d. Performance Measurement and Attribution
e. Public Companies
f. Credit Rating Agency Opinions
g. Influence during the Manager Selection/Procurement Process
h. Issuer-Paid Research
i. Travel Funding
I(C). Misrepresentation
a. Impact on Investment Practice
b. Performance Reporting
(Benchmark đúng)
c. Social Media
d. Omission
e. Plagiarism
(Đạo văn, Copy ko ghi nguồn)
f. Work completed for Employer
I(A). Knowledge of the Law
NO
Participation
in or
Association
with Violations by Others
Investment Products and Applicable Laws
Relationship between the Code & Standard and Applicable Law
I(D). Misconduct
Any act that involves
lying
,
cheating
,
stealing
, or other
dishonest conduct
III. DUTIES TO CLIENTS
III(A): Loyalty, Prudence, and Care
a. Understanding the Application of Loyalty, Prudence, and Care
b. Identifying the Actual Investment Client
c. Developing the Client’s Portfolio
d. Soft Commission Policies
(seek
best price
and
best execution
)
e. Proxy Voting Policies
III(B): Fair Dealing
a. Investment recommendation
b. Investment action
(Khuyến nghị cho mọi khách hàng phải tương đương nhau, tức là đều là mua, hoặc đều là bán. Có điều là giải thích ít hay nhiều là tùy)
III(C): Suitability
a. Developing an Investment Policy
b. Understanding the Client’s Risk Profile
c. Updating an Investment Policy
d. The Need for Diversification
e. Addressing Unsolicited Trading Requests
f. Managing to an Index or Mandate
III(D): Performance Presentation
II. INTEGRITY OF FINANCIAL MARKET
II (A): Material Nonpublic Information
(Không ra quyết định bằng Material Non-public info)
a. Definition of Material Information (Đọc ĐN lại)
b. Definition of Nonpublic Information (Đọc ĐN lại)
c. Mosaic Theory
(Bạn dùng non-material + non-public thì được, chứ material + non-public là chết)
d. Social Media
(Không lấy thông tin từ MXH để dùng vào trong analysis)
e. Using Industry Expert
(trả tiền để mua thông tin được)
f. Investment Research Reports
II (B): Market Manipulation
a. Information Based Manipulation
(Đưa ra thông tin sai lệch để manipulate)
b. Transaction Based Manipulation
(Trade qua lại giữa 2 tài khoản => tăng KL)
VII. RESPONSIBILITIES OF A CFA INSTITUTE MEMBER OR A CFA CANDIDATE
IV. DUTIES TO EMPLOYERS
VI. CONFLICTS OF INTEREST
V. INVESTMENT ANALYSIS,
RECOMMENDATIONS & ACTIONS
