自2015年開始,CFA協(xié)會(huì)正式啟用第11版職業(yè)倫理Handbook,而上一版Handbook陪伴考生度過了三個(gè)年頭,那么對(duì)于新一版的職業(yè)倫理手冊(cè),究竟同舊版有哪些區(qū)別呢?
  相較第10版,第11版Handbook在內(nèi)容和結(jié)構(gòu)上都發(fā)生了重大改變。在內(nèi)容上新增了一些知識(shí)點(diǎn),新增并刪減了一些案例。同時(shí)對(duì)原有一些條款的結(jié)構(gòu)作了修正。其中IV(C) Responsibility of supervisor這一條款變動(dòng)較大。
  總體來說新增加的部分主要強(qiáng)調(diào)隨著科技進(jìn)步,關(guān)于“社會(huì)媒體”的應(yīng)用這一方面。針對(duì)新增的知識(shí)點(diǎn),所對(duì)應(yīng)的例題也增加了不少,相信在考試上會(huì)側(cè)重于這些新內(nèi)容。同時(shí)也對(duì)某一些知識(shí)點(diǎn)進(jìn)行了補(bǔ)充,使其更加嚴(yán)密。
  例如:
  Guidance
  Members and candidates must understand the applicable laws and regulations of the countries and jurisdictions where they engage in professional activities. These activities may include, but are not limited to, trading of securities, providing investment advice, conducting research, or other investment services. On the basis of their reasonable and good faith understanding, members and candidates must comply with the laws and regulations that directly govern their work and its outcome and that protect the interests of the clients.
  新變動(dòng)知識(shí)點(diǎn):兩層意思,*9,強(qiáng)調(diào)了members和candidates必須理解他們從事專業(yè)工作的國(guó)家和管轄區(qū)域的法律和法規(guī)。第二,在理解的基礎(chǔ)上,members和candidates必須遵循直接監(jiān)督管理他們工作和結(jié)果的法律和法規(guī),并且保護(hù)客戶的利益。和第十版相比,大致意思不變,只是稍微詳細(xì)了一些。
  2014年7月1日CFA協(xié)會(huì)發(fā)表了*7版CFA道德手冊(cè)Ethics (11th Edition),自2015年起全球CFA考生將統(tǒng)一使用第11版CFA考試Handbook。
  The eleventh edition of the Standards of Practice Handbook contains the CFA Institute Code of Ethics and Standards of Professional Conduct with related guidance and examples illustrating application of the Standards in the day-to-day professional activities of members and candidates. The eleventh edition guidance and provisions are effective 1 July 2014.