How to identifying the actual investment client and voting proxy policies?：管理個(gè)人資產(chǎn)→資產(chǎn)所有人就是客戶”管理信托資產(chǎn)→信托的最終受益人才是客戶。要求公司的養(yǎng)老金管理人使用萬(wàn)科的養(yǎng)老金收購(gòu)本公司股票，以資本增值為目的的買入行為是合理的。養(yǎng)老金管理人認(rèn)為萬(wàn)科未被低估,

How to understand loyalty, prudence and care in duty to clients?：The client or prospective client permits disclosure of the information.（在法律允許或客戶同意的情況下可以披露）,members and candidates must comply with the law.（在某些情況下法律要求。

What are the ethics and trust in the investment profession？：Global investment performance standards（GIPS）= 比例低，也并非所有的不道德都是違法君子有所不為的決策是更好的決策更符合stakeholder利益的決策

In analyzing investment, what should we do to making investment recommendations, and taking investment actions?：or action. （分析、投資或者提供建議要有合理、充分的基礎(chǔ)）,must not rely on that information. （外部數(shù)據(jù)懷疑就不能用）,issue indicates NO reasonable basis. （不能總是推薦所謂的熱門股票），并不代表有這樣的觀點(diǎn)）但整個(gè)研究過(guò)程是可靠的

What should members and candidates do when communicating with client?：should notify clients that additional information and analyses are available upon request. （可以提供簡(jiǎn)易版報(bào)告:需要的話可以提供詳細(xì)版）:Comment,Comment

What's the meaning of independence and objectivity in professionalism?：or consideration that reasonably could be expected to compromise their own or another’s independence and objectivity.（那些被合理認(rèn)為將會(huì)影響?yīng)毩⒖陀^的威逼利誘都要不為所動(dòng)）,但在他人眼中會(huì)影響?yīng)毩⑿砸膊恍校┛赡艿脑捠孪扰督o雇主告訴雇主是為了引起雇主的同意

What laws,rules, and regulations should be known by members and candidates?：rules，必須遵守直接相關(guān)的法律），but this may be advisable in some circumstances and required by law in others. （沒(méi)有要求一定要將違法行為報(bào)告政府）也會(huì)被認(rèn)為是參與違法行為）

How to understand the Code of ethics and trust in the investment profession?：I,Professionalism:II:IIIIVVVIVIIResponsibilities as a CFA member or candidate