Tài liệu ETHICAL AND PROFESSIONAL STANDARDS, BEHAVIORAL FINANCE, AND PRIVATE WEALTH MANAGEMENT pdf

[...]... that violate the Code of Ethics and Standards of Professional Conduct (page 99) b prepare appropriate policy and procedural changes needed to assure compliance with the Code of Ethics and Standards of Professional Conduct (page 99) ©20 11 Kaplan, Inc Page 11 Book 1 - Ethical and Professional Standards, Behavioral Finance, and Private Wealth Management Readings and Learning Outcome Statements The topical... Portfolios page 224 page 262 11 Taxes and Private Wealth Management in a Global Context 12 Estate Planning in a Global Context page 307 13 Low-Basis Stock page 340 14 Lifetime Financial Advice: Human Capital, Asset Allocation, and Insurance page 353 Page 10 ©20 11 Kaplan, Inc Book 1 - Ethical and Professional Standards, Behavioral Finance, and Private Wealth Management Readings and Learning Outcome Statements... Monte Carlo approach (page 252) ©20 11 Kaplan, Inc Page 13 Book 1 - Ethical and Professional Standards, Behavioral Finance, and Private Wealth Management Readings and Learning Outcome Statements The topical coverage corresponds with the following CPA Institute assigned reading: 11 Taxes and Private Wealth Management in a Global Context The candidate should be able to: a compare basic global taxation regimes...READINGS AND LEARNING OuTCOME STATEMENTS READINGS The following material is a review of the Ethical and Professional Standards, Behavioral Finance, and Private Wealth Management principles designed to address the learning outcome statements set forth by CPA Institute STUDY SESSION 1 Reading Assignments Code ofEthics and Standards ofProfessional Conduct, CFA Program Curriculum,... 2- Standards of Practice Handbook STANDARDS oF PRoFESSIONAL CoNoucT I 2 PROFESSIONALISM A Knowledge of the Law Members and Candidates must understand and comply with all applicable laws, rules, and regulations (including the CFA Institute Code ofEthics and Standards ofProfessional Conduct) of any government, regulatory organization, licensing agency, or professional association governing their professional. .. 330) Page 14 ©20 11 Kaplan, Inc Book 1 - Ethical and Professional Standards, Behavioral Finance, and Private Wealth Management Readings and Learning Outcome Statements The topical coverage corresponds with the following CPA Institute assigned reading: 13 Low-Basis Stock The candidate should be able to: a explain the psychological considerations, investment risk, and tax issues related to concentrated... actions, and engaging in other professional activities Practice and encourage others to practice in a professional and ethical manner that will reflect credit on themselves and the profession Promote the integrity of, and uphold the rules governing, capital markets Maintain and improve their professional competence and strive to maintain and improve the competence of other investment professionals THE STANDARDS... d evaluate the impact of biases on investment policy and asset allocation and discuss approaches to mitigate their effect (page 181) The topical coverage corresponds with the following CPA Institute assigned reading: Page 12 ©20 11 Kaplan, Inc Book 1 - Ethical and Professional Standards, Behavioral Finance, and Private Wealth Management Readings and Learning Outcome Statements The topical coverage... reading: Code of Ethics and Standards of Professional Conduct The candidate should be able to: a describe the structure of the CFA Institute Professional Conduct Program and the disciplinary review process for the enforcement of the Code of Ethics and Standards of Professional Conduct (page 16) b explain the ethical responsibilities required by the Code of Ethics and the Standards of Professional Conduct,... the Code and Standards in various situations involving issues of professional integrity LOS 2.b: Recommend practices and procedures designed to prevent violations of the Code of Ethics and Standards of Professional Conduct CPA® Program Curriculum, l-Dluml!' 1, pagl!' 19 I Professionalum Knowledge of the Law Members and Candidates must understand and I (A) comply with all applicable laws, rules, and regulations . w0 h0" alt="" BooK 1 - ETHICAL AND PROFESSIONAL STANDARDS, BEHAVIORAL FINANCE, AND PRIVATE WEALTH MANAGEMENT Readings and Learning Outcome Statements. Allocation, and Insurance ©20 11 Kaplan, Inc. page 353 Book 1 - Ethical and Professional Standards, Behavioral Finance, and Private Wealth Management