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2012年CFA一级考试大纲(官方完整版)2012_LI_combined.pdf

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2012年CFA一级考试大纲(官方完整版)2012_LI_combined.pdf

THEREADINGSINTHISSTUDYSESSIONPRESENTAFRAMEWORKFORETHICALCONDUCTINTHEINVESTMENTPROFESSIONBYFOCUSINGONTHECFAINSTITUTECODEOFETHICSANDSTANDARDSOFPROFESSIONALCONDUCTASWELLASTHEGLOBALINVESTMENTPERFORMANCESTANDARDSGIPSTHEPRINCIPLESANDGUIDANCEPRESENTEDINTHECFAINSTITUTESTANDARDSOFPRACTICEHANDBOOKHANDBOOKFORMTHEBASISFORTHECFAINSTITUTESELFREGULATORYPROGRAMTOMAINTAINTHEHIGHESTPROFESSIONALSTANDARDSAMONGINVESTMENTPRACTITIONERS“GUIDANCE”INTHEHANDBOOKADDRESSESTHEPRACTICALAPPLICATIONOFTHECODEOFETHICSANDSTANDARDSOFPROFESSIONALCONDUCTTHEGUIDANCEEXPANDSUPONTHEPURPOSEANDSCOPEOFEACHSTANDARD,PRESENTSRECOMMENDEDPROCEDURESFORCOMPLIANCE,ANDPROVIDESEXAMPLESOFTHESTANDARDINPRACTICETHEGLOBALINVESTMENTPERFORMANCESTANDARDSGIPSFACILITATEEFFICIENTCOMPARISONOFINVESTMENTPERFORMANCEACROSSINVESTMENTMANAGERSANDCOUNTRYBORDERSBYPRESCRIBINGMETHODOLOGYANDSTANDARDSTHATARECONSISTENTWITHACLEARANDHONESTPRESENTATIONOFRETURNSHAVINGAGLOBALSTANDARDFORREPORTINGINVESTMENTPERFORMANCEMINIMIZESTHEPOTENTIALFORAMBIGUOUSORMISLEADINGPRESENTATIONSREADINGASSIGNMENTSREADING1CODEOFETHICSANDSTANDARDSOFPROFESSIONALCONDUCTSTANDARDSOFPRACTICEHANDBOOK,TENTHEDITIONREADING2GUIDANCEFORSTANDARDSI–VIISTANDARDSOFPRACTICEHANDBOOK,TENTHEDITIONREADING3INTRODUCTIONTOTHEGLOBALINVESTMENTPERFORMANCESTANDARDSGIPSREADING4GLOBALINVESTMENTPERFORMANCESTANDARDSGIPSSTUDYSESSION1ETHICALANDPROFESSIONALSTANDARDS2012LEVELICFAPROGRAMCURRICULUMCFAINSTITUTESTUDYSESSION12012LEVELICFAPROGRAMCURRICULUMCFAINSTITUTELEARNINGOUTCOMESREADING1CODEOFETHICSANDSTANDARDSOFPROFESSIONALCONDUCTTHECANDIDATESHOULDBEABLETOADESCRIBETHESTRUCTUREOFTHECFAINSTITUTEPROFESSIONALCONDUCTPROGRAMANDTHEPROCESSFORTHEENFORCEMENTOFTHECODEANDSTANDARDS;BSTATETHESIXCOMPONENTSOFTHECODEOFETHICSANDTHESEVENSTANDARDSOFPROFESSIONALCONDUCT;CEXPLAINTHEETHICALRESPONSIBILITIESREQUIREDBYTHECODEANDSTANDARDS,INCLUDINGTHEMULTIPLESUBSECTIONSOFEACHSTANDARDREADING2GUIDANCEFORSTANDARDSI–VIITHECANDIDATESHOULDBEABLETOADEMONSTRATEANDEXPLAINTHEAPPLICATIONOFTHECODEOFETHICSANDSTANDARDSOFPROFESSIONALCONDUCTTOSITUATIONSINVOLVINGISSUESOFPROFESSIONALINTEGRITY;BDISTINGUISHBETWEENCONDUCTTHATCONFORMSTOTHECODEANDSTANDARDSANDCONDUCTTHATVIOLATESTHECODEANDSTANDARDS;CRECOMMENDPRACTICESANDPROCEDURESDESIGNEDTOPREVENTVIOLATIONSOFTHECODEOFETHICSANDSTANDARDSOFPROFESSIONALCONDUCTREADING3INTRODUCTIONTOTHEGLOBALINVESTMENTPERFORMANCESTANDARDSGIPSTHECANDIDATESHOULDBEABLETOAEXPLAINWHYTHEGIPSSTANDARDSWERECREATED,WHATPARTIESTHEGIPSSTANDARDSAPPLYTO,ANDWHOISSERVEDBYTHESTANDARDS;BEXPLAINTHECONSTRUCTIONANDPURPOSEOFCOMPOSITESINPERFORMANCEREPORTING;CEXPLAINTHEREQUIREMENTSFORVERIFICATIONREADING4GLOBALINVESTMENTPERFORMANCESTANDARDSGIPSTHECANDIDATESHOULDBEABLETOADESCRIBETHEKEYFEATURESOFTHEGIPSSTANDARDSANDTHEFUNDAMENTALSOFCOMPLIANCE;BDESCRIBETHESCOPEOFTHEGIPSSTANDARDSWITHRESPECTTOANINVESTMENTFIRM’SDEFINITIONANDHISTORICALPERFORMANCERECORD;CEXPLAINHOWTHEGIPSSTANDARDSAREIMPLEMENTEDINCOUNTRIESWITHEXISTINGSTANDARDSFORPERFORMANCEREPORTINGANDDESCRIBETHEAPPROPRIATERESPONSEWHENTHEGIPSSTANDARDSANDLOCALREGULATIONSCONFLICT;DDESCRIBETHENINEMAJORSECTIONSOFTHEGIPSSTANDARDSTHISINTRODUCTORYSTUDYSESSIONPRESENTSTHEFUNDAMENTALSOFSOMEQUANTITATIVETECHNIQUESESSENTIALINFINANCIALANALYSISTHESETECHNIQUESAREUSEDTHROUGHOUTTHECFAPROGRAMCURRICULUMTHISSESSIONINTRODUCESTWOMAINTOOLSOFQUANTITATIVEANALYSISTHETIMEVALUEOFMONEYANDPROBABILITYANDDESCRIPTIVESTATISTICSTIMEVALUEOFMONEYTECHNIQUESAREUSEDTHROUGHOUTFINANCIALANALYSISTIMEVALUEOFMONEYCALCULATIONSARETHEBASICTOOLSUSEDTOSUPPORTCORPORATEFINANCEDECISIONSANDTOESTIMATETHEFAIRVALUEOFFIXEDINCOME,EQUITY,ANDOTHERTYPESOFSECURITIESORINVESTMENTSSIMILARLY,STATISTICSANDPROBABILITYTHEORYAREESSENTIALTOOLSFORDESCRIBINGANDESTIMATINGRISKREADINGASSIGNMENTSREADING5THETIMEVALUEOFMONEYQUANTITATIVEMETHODSFORINVESTMENTANALYSIS,SECONDEDITION,BYRICHARDADEFUSCO,CFA,DENNISWMCLEAVEY,CFA,JERALDEPINTO,CFA,ANDDAVIDERUNKLE,CFAREADING6DISCOUNTEDCASHFLOWAPPLICATIONSQUANTITATIVEMETHODSFORINVESTMENTANALYSIS,SECONDEDITION,BYRICHARDADEFUSCO,CFA,DENNISWMCLEAVEY,CFA,JERALDEPINTO,CFA,ANDDAVIDERUNKLE,CFAREADING7STATISTICALCONCEPTSANDMARKETRETURNSQUANTITATIVEMETHODSFORINVESTMENTANALYSIS,SECONDEDITION,BYRICHARDADEFUSCO,CFA,DENNISWMCLEAVEY,CFA,JERALDEPINTO,CFA,ANDDAVIDERUNKLE,CFAREADING8PROBABILITYCONCEPTSQUANTITATIVEMETHODSFORINVESTMENTANALYSIS,SECONDEDITION,BYRICHARDADEFUSCO,CFA,DENNISWMCLEAVEY,CFA,JERALDEPINTO,CFA,ANDDAVIDERUNKLE,CFASTUDYSESSION2QUANTITATIVEMETHODSBASICCONCEPTS2012LEVELICFAPROGRAMCURRICULUMCFAINSTITUTESTUDYSESSION22012LEVELICFAPROGRAMCURRICULUMCFAINSTITUTELEARNINGOUTCOMESREADING5THETIMEVALUEOFMONEYTHECANDIDATESHOULDBEABLETOAINTERPRETINTERESTRATESASREQUIREDRATESOFRETURN,DISCOUNTRATES,OROPPORTUNITYCOSTS;BEXPLAINANINTERESTRATEASTHESUMOFAREALRISKFREERATE,EXPECTEDINFLATION,ANDPREMIUMSTHATCOMPENSATEINVESTORSFORDISTINCTTYPESOFRISK;CCALCULATEANDINTERPRETTHEEFFECTIVEANNUALRATE,GIVENTHESTATEDANNUALINTERESTRATEANDTHEFREQUENCYOFCOMPOUNDING;DSOLVETIMEVALUEOFMONEYPROBLEMSFORDIFFERENTFREQUENCIESOFCOMPOUNDING;ECALCULATEANDINTERPRETTHEFUTUREVALUEFVANDPRESENTVALUEPVOFASINGLESUMOFMONEY,ANORDINARYANNUITY,ANANNUITYDUE,APERPETUITYPVONLY,ANDASERIESOFUNEQUALCASHFLOWS;FDEMONSTRATETHEUSEOFATIMELINEINMODELINGANDSOLVINGTIMEVALUEOFMONEYPROBLEMSREADING6DISCOUNTEDCASHFLOWAPPLICATIONSTHECANDIDATESHOULDBEABLETOACALCULATEANDINTERPRETTHENETPRESENTVALUENPVANDTHEINTERNALRATEOFRETURNIRROFANINVESTMENT;BCONTRASTTHENPVRULETOTHEIRRRULE,ANDIDENTIFYPROBLEMSASSOCIATEDWITHTHEIRRRULE;CCALCULATEANDINTERPRETAHOLDINGPERIODRETURNTOTALRETURN;DCALCULATE,INTERPRET,ANDDISTINGUISHBETWEENTHEMONEYWEIGHTEDANDTIMEWEIGHTEDRATESOFRETURNOFAPORTFOLIO,ANDEVALUATETHEPERFORMANCEOFPORTFOLIOSBASEDONTHESEMEASURES;ECALCULATEANDINTERPRETTHEBANKDISCOUNTYIELD,HOLDINGPERIODYIELD,EFFECTIVEANNUALYIELD,ANDMONEYMARKETYIELDFORAUSTREASURYBILL;FCONVERTAMONGHOLDINGPERIODYIELDS,MONEYMARKETYIELDS,EFFECTIVEANNUALYIELDS,ANDBONDEQUIVALENTYIELDSREADING7STATISTICALCONCEPTSANDMARKETRETURNSTHECANDIDATESHOULDBEABLETOADISTINGUISHBETWEENDESCRIPTIVESTATISTICSANDINFERENTIALSTATISTICS,BETWEENAPOPULATIONANDASAMPLE,ANDAMONGTHETYPESOFMEASUREMENTSCALES;BDEFINEAPARAMETER,ASAMPLESTATISTIC,ANDAFREQUENCYDISTRIBUTION;CCALCULATEANDINTERPRETRELATIVEFREQUENCIESANDCUMULATIVERELATIVEFREQUENCIES,GIVENAFREQUENCYDISTRIBUTION;DDESCRIBETHEPROPERTIESOFADATASETPRESENTEDASAHISTOGRAMORAFREQUENCYPOLYGON;ECALCULATEANDINTERPRETMEASURESOFCENTRALTENDENCY,INCLUDINGTHEPOPULATIONMEAN,SAMPLEMEAN,ARITHMETICMEAN,WEIGHTEDAVERAGEORMEANINCLUDINGAPORTFOLIORETURNVIEWEDASAWEIGHTEDMEAN,GEOMETRICMEAN,HARMONICMEAN,MEDIAN,ANDMODE;FCALCULATEANDINTERPRETQUARTILES,QUINTILES,DECILES,ANDPERCENTILES;STUDYSESSION2GCALCULATEANDINTERPRET1ARANGEANDAMEANABSOLUTEDEVIATIONAND2THEVARIANCEANDSTANDARDDEVIATIONOFAPOPULATIONANDOFASAMPLE;HCALCULATEANDINTERPRETTHEPROPORTIONOFOBSERVATIONSFALLINGWITHINASPECIFIEDNUMBEROFSTANDARDDEVIATIONSOFTHEMEANUSINGCHEBYSHEV’SINEQUALITY;ICALCULATEANDINTERPRETTHECOEFFICIENTOFVARIATIONANDTHESHARPERATIO;JEXPLAINSKEWNESSANDTHEMEANINGOFAPOSITIVELYORNEGATIVELYSKEWEDRETURNDISTRIBUTION;KDESCRIBETHERELATIVELOCATIONSOFTHEMEAN,MEDIAN,ANDMODEFORAUNIMODAL,NONSYMMETRICALDISTRIBUTION;LEXPLAINMEASURESOFSAMPLESKEWNESSANDKURTOSIS;MEXPLAINTHEUSEOFARITHMETICANDGEOMETRICMEANSWHENANALYZINGINVESTMENTRETURNSREADING8PROBABILITYCONCEPTSTHECANDIDATESHOULDBEABLETOADEFINEARANDOMVARIABLE,ANOUTCOME,ANEVENT,MUTUALLYEXCLUSIVEEVENTS,ANDEXHAUSTIVEEVENTS;BEXPLAINTHETWODEFININGPROPERTIESOFPROBABILITYANDDISTINGUISHAMONGEMPIRICAL,SUBJECTIVE,ANDAPRIORIPROBABILITIES;CSTATETHEPROBABILITYOFANEVENTINTERMSOFODDSFORANDAGAINSTTHEEVENT;DDISTINGUISHBETWEENUNCONDITIONALANDCONDITIONALPROBABILITIES;EEXPLAINTHEMULTIPLICATION,ADDITION,ANDTOTALPROBABILITYRULES;FCALCULATEANDINTERPRET1THEJOINTPROBABILITYOFTWOEVENTS,2THEPROBABILITYTHATATLEASTONEOFTWOEVENTSWILLOCCUR,GIVENTHEPROBABILITYOFEACHANDTHEJOINTPROBABILITYOFTHETWOEVENTS,AND3AJOINTPROBABILITYOFANYNUMBEROFINDEPENDENTEVENTS;GDISTINGUISHBETWEENDEPENDENTANDINDEPENDENTEVENTS;HCALCULATEANDINTERPRETANUNCONDITIONALPROBABILITYUSINGTHETOTALPROBABILITYRULE;IEXPLAINTHEUSEOFCONDITIONALEXPECTATIONININVESTMENTAPPLICATIONS;JEXPLAINTHEUSEOFATREEDIAGRAMTOREPRESENTANINVESTMENTPROBLEM;KCALCULATEANDINTERPRETCOVARIANCEANDCORRELATION;LCALCULATEANDINTERPRETTHEEXPECTEDVALUE,VARIANCE,ANDSTANDARDDEVIATIONOFARANDOMVARIABLEANDOFRETURNSONAPORTFOLIO;MCALCULATEANDINTERPRETCOVARIANCEGIVENAJOINTPROBABILITYFUNCTION;NCALCULATEANDINTERPRETANUPDATEDPROBABILITYUSINGBAYES’FORMULA;OIDENTIFYTHEMOSTAPPROPRIATEMETHODTOSOLVEAPARTICULARCOUNTINGPROBLEM,ANDSOLVECOUNTINGPROBLEMSUSINGTHEFACTORIAL,COMBINATION,ANDPERMUTATIONNOTATIONS2012LEVELICFAPROGRAMCURRICULUMCFAINSTITUTETHISSTUDYSESSIONINTRODUCESSOMEOFTHEDISCRETEANDCONTINUOUSPROBABILITYDISTRIBUTIONSMOSTCOMMONLYUSEDTODESCRIBETHEBEHAVIOROFRANDOMVARIABLESPROBABILITYTHEORYANDCALCULATIONSAREWIDELYAPPLIEDINFINANCE,FOREXAMPLE,INTHEFIELDOFINVESTMENTANDPROJECTVALUATIONANDINFINANCIALRISKMANAGEMENTFURTHERMORE,THISSESSIONEXPLAINSHOWTOESTIMATEDIFFERENTPARAMETERSEG,MEANANDSTANDARDDEVIATIONOFAPOPULATIONIFONLYASAMPLE,RATHERTHANTHEWHOLEPOPULATION,CANBEOBSERVEDHYPOTHESISTESTINGISACLOSELYRELATEDTOPICTHISSESSIONPRESENTSTHETECHNIQUESTHATCANBEAPPLIEDTOACCEPTORREJECTANASSUMEDHYPOTHESISNULLHYPOTHESISABOUTVARIOUSPARAMETERSOFAPOPULATIONTHELASTREADINGINTRODUCESTHEFUNDAMENTALSOFTECHNICALANALYSISANDILLUSTRATESHOWITISUSEDTOANALYZESECURITIESANDSECURITIESMARKETSREADINGASSIGNMENTSREADING9COMMONPROBABILITYDISTRIBUTIONSQUANTITATIVEMETHODSFORINVESTMENTANALYSIS,SECONDEDITION,BYRICHARDADEFUSCO,CFA,DENNISWMCLEAVEY,CFA,JERALDEPINTO,CFA,ANDDAVIDERUNKLE,CFAREADING10SAMPLINGANDESTIMATIONQUANTITATIVEMETHODSFORINVESTMENTANALYSIS,SECONDEDITION,BYRICHARDADEFUSCO,CFA,DENNISWMCLEAVEY,CFA,JERALDEPINTO,CFA,ANDDAVIDERUNKLE,CFAREADING11HYPOTHESISTESTINGQUANTITATIVEMETHODSFORINVESTMENTANALYSIS,SECONDEDITION,BYRICHARDADEFUSCO,CFA,DENNISWMCLEAVEY,CFA,JERALDEPINTO,CFA,ANDDAVIDERUNKLE,CFAREADING12TECHNICALANALYSISBYBARRYMSINE,CFAANDROBERTASTRONG,CFASTUDYSESSION3QUANTITATIVEMETHODSAPPLICATION2012LEVELICFAPROGRAMCURRICULUMCFAINSTITUTESTUDYSESSION32012LEVELICFAPROGRAMCURRICULUMCFAINSTITUTELEARNINGOUTCOMESREADING9COMMONPROBABILITYDISTRIBUTIONSTHECANDIDATESHOULDBEABLETOADEFINEAPROBABILITYDISTRIB

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