如何理解好CFA三級(jí)General Principles of Conduct知識(shí)點(diǎn)？也一部分也是作為CFA三級(jí)考試中重要知識(shí)點(diǎn)，高頓網(wǎng)校小編提醒各位CFA考生要理解好這一部分內(nèi)容。高頓網(wǎng)校CFA小編整理CFA三級(jí)General Principles of Conduct相關(guān)內(nèi)容，幫助大家更好地理解CFA三級(jí)考點(diǎn)。
 

 
Managers have thefollowing responsibilities to their clients. Managers must:
1.   Act in a professional and ethical manner at all times.
2.   Act for the benefit of clients.
3.   Act with independence and objectivity.
4.   Act with skill, competence, and diligence.
5.   Communicate with clients in a timely andaccurate manner.
6.   Uphold the applicable rules governing capitalmarkets.
Asset Manager Code of Professional ConductA.   Risk Management,Compliance, and Support Managers must:
1.  Ensurethat portfolio information provided to clients by the Manager is accurate and completeand arrange for independent third-partyconfirmation or review of such information.
2.Employ qualified staff and sufficienthuman and technological resources to thoroughly investigate, analyze,implement, and monitor investment decisions and actions.
3.Establish a business-continuity plan toaddress disaster recovery or periodicdisruptions of the financial markets.
4.Establish a firmwide risk management process that identifies, measures, and manages therisk position of the Manager and its investments, including the sources, nature, and degree of riskexposure.
B.       Performance andValuation Managers must:
Use fair-market prices to value client holdings andapply, in good faith, methods to determine the fair value of any securities for which no independent, third-party marketquotation is readily available.
C.       Disclosures Managersmust:
高頓財(cái)經(jīng)CFA研究中心張老師指出要根據(jù)下述概念理解：Disclose the following:
a)  Regulatoryor disciplinary action taken against the Manager or its personnel related to professional conduct.
b)  The investment process, includinginformation regarding lock-up periods,strategies, risk factors, and use ofderivatives and leverage.
c)   Management fees and other investment costs charged to investors, including whatcosts are included in the fees andthe methodologiesfor determining feesand costs.
d)  Theamount of any soft or bundled commissions, the goodsand/or servicesreceived in return, and how those goods and/or services benefit the client.
e)   Valuation methods usedto make investment decisions andvalue client holdings.
f)   Results of the reviewor audit of the fund or account.
g)  Significant personnel ororganizational changes that have occurred at the Manager.
h)  Risk managementprocesses.