自2015年開始,CFA協會正式啟用第11版職業(yè)倫理Handbook,而上一版Handbook陪伴考生度過了三個年頭,那么對于新一版的職業(yè)倫理手冊,究竟同舊版有哪些區(qū)別呢?
  相較第10版,第11版Handbook在內容和結構上都發(fā)生了重大改變。在內容上新增了一些知識點,新增并刪減了一些案例。同時對原有一些條款的結構作了修正。其中IV(C) Responsibility of supervisor這一條款變動較大。
  總體來說新增加的部分主要強調隨著科技進步,關于“社會媒體”的應用這一方面。針對新增的知識點,所對應的例題也增加了不少,相信在考試上會側重于這些新內容。同時也對某一些知識點進行了補充,使其更加嚴密。
  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.
  新變動知識點:兩層意思,*9,強調了members和candidates必須理解他們從事專業(yè)工作的國家和管轄區(qū)域的法律和法規(guī)。第二,在理解的基礎上,members和candidates必須遵循直接監(jiān)督管理他們工作和結果的法律和法規(guī),并且保護客戶的利益。和第十版相比,大致意思不變,只是稍微詳細了一些。
  2014年7月1日CFA協會發(fā)表了*7版CFA道德手冊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.