CFA Program Curriculum 2020 Level I Volumes 1-6 Box Set

Wiley (Verlag)
  • 1. Auflage
  • |
  • erschienen am 9. August 2019
  • |
  • 100 Seiten
E-Book | ePUB mit Adobe-DRM | Systemvoraussetzungen
978-1-119-59357-7 (ISBN)

Clear, concise instruction for all CFA Program Level I concepts and competencies for the 2020 exam

The same official curricula that CFA Program candidates receive with program registration is now publicly available for purchase. CFA Program Curriculum 2020 Level I, Volumes 1-6 provides the complete Level I curriculum for the 2020 exam, delivering the Candidate Body of Knowledge (CBOK) with expert instruction on all 10 topic areas of the CFA Program. Fundamental concepts are explained in-depth with a heavily visual style, while cases and examples demonstrate how concepts apply in real-world scenarios. Coverage includes ethical and professional standards, quantitative analysis, economics, financial reporting and analysis, corporate finance, equities, fixed income, derivatives, alternative investments, and portfolio management, all organized into individual sessions with clearly defined Learning Outcome Statements. Charts, graphs, figures, diagrams, and financial statements illustrate concepts to facilitate retention, and practice questions provide the opportunity to gauge your understanding while reinforcing important concepts.

  • Learning Outcome Statement checklists guide readers to important concepts to derive from the readings
  • Embedded case studies and examples throughout demonstrate practical application of concepts
  • Figures, diagrams, and additional commentary make difficult concepts accessible
  • Practice problems support learning and retention

CFA Institute promotes the highest standards of ethics, education, and professional excellence among investment professionals. The CFA Program curriculum guides you through the breadth of knowledge required to uphold these standards.

CFA Institute is the global association of investment professionals that sets the standard for professional excellence and credentials. The organization is a champion for ethical behavior in investment markets and a respected source of knowledge in the global financial community. The end goal: to create an environment where investors' interests come first, markets function at their best, and economies grow. CFA Institute has more than 155,000 members in 165 countries and territories, including 150,000 CFA® charterholders, and 148 member societies. For more information, visit
  • Englisch
  • 27,37 MB
978-1-119-59357-7 (9781119593577)
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Table of Contents

  1. Title Page
  2. Table of Contents
  3. How to Use the CFA Program Curriculum
    1. Background on the CBOK
    2. Organization of the Curriculum
    3. Features of the Curriculum
      1. Required vs. Optional Segments [OPTIONAL]
      2. Practice Problems/Solutions
      3. Glossary
      4. LOS Self-Check
      5. Source Material
      6. Errata
    4. Designing Your Personal Study Program
      1. Create a Schedule
      2. CFA Institute Practice Questions
      3. CFA Institute Mock Examinations
      4. Preparatory Providers
    5. Feedback
  4. Ethical and Professional Standards
    1. Study Session
    2. Topic Level Learning Outcome
  5. Study Session 1. Ethical and Professional Standards
    1. Reading Assignments
    2. Reading 1. Ethics and Trust in the Investment Profession
      1. Learning Outcomes
      2. 1. Introduction
      3. 2. Ethics
      4. 3. Ethics and Professionalism
        1. 3.1. How Professions Establish Trust
          1. Professions normalize practitioner behavior.
          2. Professions provide a service to society.
          3. Professions are client focused.
          4. Professions have high entry standards.
          5. Professions possess a body of expert knowledge.
          6. Professions encourage and facilitate continuing education.
          7. Professions monitor professional conduct.
          8. Professions are collegial.
          9. Professions are recognized oversight bodies.
          10. Professions encourage the engagement of members.
        2. 3.2. Professions Are Evolving
      5. 4. Professionalism in Investment Management
        1. 4.1. Trust in Investment Management
        2. 4.2. CFA Institute as an Investment Management Professional Body
      6. 5. Challenges to Ethical Conduct
      7. 6. Ethical vs. Legal Standards
      8. 7. Ethical Decision-Making Frameworks
        1. 7.1. The Framework for Ethical Decision-Making
        2. 7.2. Applying the Framework
      9. 8. Conclusion
      10. Summary
      11. References
      12. PracticeProblems
      13. Solutions
    3. Reading 2. Code of Ethics and Standards of Professional Conduct
      1. Learning Outcomes
      2. Preface
        1. Evolution of the CFA Institute Code of Ethics and Standards of Professional Conduct
        2. Standards of Practice Handbook
        3. Summary of Changes in the Eleventh Edition
          1. Inclusion of Updated CFA Institute Mission
          2. Updated Code of Ethics Principle
          3. New Standard Regarding Responsibilities of Supervisors [IV(C)]
          4. Additional Requirement under the Standard for Communication with Clients and Prospective Clients [V(B)]
          5. Modification to Standard VII(A)
          6. General Guidance and Example Revision
        4. CFA Institute Professional Conduct Program
        5. Adoption of the Code and Standards
        6. Acknowledgments
      3. Ethics and the Investment Industry
        1. Why Ethics Matters
          1. Ethics, Society, and the Capital Markets
          2. Capital Market Sustainability and the Actions of One
          3. The Relationship between Ethics and Regulations
          4. Applying an Ethical Framework
          5. Commitment to Ethics by Firms
          6. Ethical Commitment of CFA Institute
      4. CFA Institute Code of Ethics and Standards of Professional Conduct
        1. Preamble
        2. The Code of Ethics
        3. Standards of Professional Conduct
      5. Practice Problems
      6. Solutions
    4. Reading 3. Guidance for Standards I-VII
      1. Learning Outcomes
      2. Standard I: Professionalism
        1. Standard I(A) Knowledge of the Law
        2. Guidance
          1. Relationship between the Code and Standards and Applicable Law
          2. Participation in or Association with Violations by Others
          3. Investment Products and Applicable Laws
        3. Recommended Procedures for Compliance
          1. Members and Candidates
          2. Distribution Area Laws
          3. Legal Counsel
          4. Dissociation
          5. Firms
        4. Application of the Standard
          1. Example 1 (Notification of Known Violations):
          2. Example 2 (Dissociating from a Violation):
          3. Example 3 (Dissociating from a Violation):
          4. Example 4 (Following the Highest Requirements):
          5. Example 5 (Following the Highest Requirements):
          6. Example 6 (Laws and Regulations Based on Religious Tenets):
          7. Example 7 (Reporting Potential Unethical Actions):
          8. Example 8 (Failure to Maintain Knowledge of the Law):
        5. Standard I(B) Independence and Objectivity
        6. Guidance
          1. Buy-Side Clients
          2. Fund Manager and Custodial Relationships
          3. Investment Banking Relationships
          4. Performance Measurement and Attribution
          5. Public Companies
          6. Credit Rating Agency Opinions
          7. Influence during the Manager Selection/Procurement Process
          8. Issuer-Paid Research
          9. Travel Funding
        7. Recommended Procedures for Compliance
        8. Application of the Standard
          1. Example 1 (Travel Expenses):
          2. Example 2 (Research Independence):
          3. Example 3 (Research Independence and Intrafirm Pressure):
          4. Example 4 (Research Independence and Issuer Relationship Pressure):
          5. Example 5 (Research Independence and Sales Pressure):
          6. Example 6 (Research Independence and Prior Coverage):
          7. Example 7 (Gifts and Entertainment from Related Party):
          8. Example 8 (Gifts and Entertainment from Client):
          9. Example 9 (Travel Expenses from External Manager):
          10. Example 10 (Research Independence and Compensation Arrangements):
          11. Example 11 (Recommendation Objectivity and Service Fees):
          12. Example 12 (Recommendation Objectivity):
          13. Example 13 (Influencing Manager Selection Decisions):
          14. Example 14 (Influencing Manager Selection Decisions):
          15. Example 15 (Fund Manager Relationships):
          16. Example 16 (Intrafirm Pressure):
        9. Standard I(C) Misrepresentation
        10. Guidance
          1. Impact on Investment Practice
          2. Performance Reporting
          3. Social Media
          4. Omissions
          5. Plagiarism
          6. Work Completed for Employer
        11. Recommended Procedures for Compliance
          1. Factual Presentations
          2. Qualification Summary
          3. Verify Outside Information
          4. Maintain Webpages
          5. Plagiarism Policy
        12. Application of the Standard
          1. Example 1 (Disclosure of Issuer-Paid Research):
          2. Example 2 (Correction of Unintentional Errors):
          3. Example 3 (Noncorrection of Known Errors):
          4. Example 4 (Plagiarism):
          5. Example 5 (Misrepresentation of Information):
          6. Example 6 (Potential Information Misrepresentation):
          7. Example 7 (Plagiarism):
          8. Example 8 (Plagiarism):
          9. Example 9 (Plagiarism):
          10. Example 10 (Plagiarism):
          11. Example 11 (Misrepresentation of Information):
          12. Example 12 (Misrepresentation of Information):
          13. Example 13 (Avoiding a Misrepresentation):
          14. Example 14 (Misrepresenting Composite Construction):
          15. Example 15 (Presenting Out-of-Date Information):
          16. Example 16 (Overemphasis of Firm Results):
        13. Standard I(D) Misconduct
        14. Guidance
        15. Recommended Procedures for Compliance
        16. Application of the Standard
          1. Example 1 (Professionalism and Competence):
          2. Example 2 (Fraud and Deceit):
          3. Example 3 (Fraud and Deceit):
          4. Example 4 (Personal Actions and Integrity):
          5. Example 5 (Professional Misconduct):
      3. Standard II: Integrity of Capital Markets
        1. Standard II(A) Material Nonpublic Information
        2. Guidance
          1. What Is "Material" Information?
          2. What Constitutes "Nonpublic" Information?
          3. Mosaic Theory
          4. Social Media
          5. Using Industry Experts
          6. Investment Research Reports
        3. Recommended Procedures for Compliance
          1. Achieve Public Dissemination
          2. Adopt Compliance Procedures
          3. Adopt Disclosure Procedures
          4. Issue Press Releases
          5. Firewall Elements
          6. Appropriate Interdepartmental Communications
          7. Physical Separation of Departments
          8. Prevention of Personnel Overlap
          9. A Reporting System
          10. Personal Trading Limitations
          11. Record Maintenance
          12. Proprietary Trading Procedures
          13. Communication to All Employees
        4. Application of the Standard
          1. Example 1 (Acting on Nonpublic Information):
          2. Example 2...

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