CFA证书申请流程及注意事项.ppt

1、09年CFA资格申请流程及注意事项,讲师：吴轶 ：CFA、FRM、CQF、SII 时间：2009年9月地点： 上海 北京深圳,2009年CFA资格申请流程及注意事项,讲座大纲,CFA会员介绍 CFA会员申请流程介绍 CFA工作经验介绍,CFA会员介绍,个人会员 超过93，000名投资专业人士，来自130个国家，当中包括81，000名CFA特许资格认证持有人 87%是CFA特许资格认证持有人；13%为非CFA特许资格持认证持有人 30%于投资公司/基金公司工作 6%于对冲基金公司/对冲基金的基金公司工作 7%于商业零售银行/按揭银行工作 4%于保险公司工作 2%于退休金及基金会工作 9%是私人财

2、富管理人/顾问 16%受雇于投资银行/经纪自营商 24%于其他机构工作，包括顾问公司、政府/监管机构、学术机构或研究机构,2009年统计CFA协会会员地域分布,会员最集中的国家或地区,会员最集中的国家或地区 美国 52,362 加拿大 12,074 英国 6,285 香港 4,264 新加坡 2,402 瑞士 1,812 地方社团 共有135个地方社团，分布于56个国家及地区,CFA考试人数最多的前五个国家及地区（截止至2008年）,美国 38，121,中国 10，526,香港 7，591,加拿大 9，997,英国 7，771,2009年6月CFA全球考生分布,Examples of non-

3、North American countries and territories with the largest number of candidates that took a CFA exam are Mainland China (11,106) India (7,107) United Kingdom (6,744) Hong Kong (6,529) Singapore (3,929) South Korea (3,867) Australia (2,204) Germany (1,632) Taiwan (1,584) Switzerland (1,458) South Afri

4、ca (1,318),CFA考生人数增长最快的前5位的市场（0712-0806）,中国大陆CFA持证人统计,截至2008年4月14日中国大陆共有1277位CFA持证人,雇佣CFA持证人最多的机构（截至2008年）,CFA的收益,Benefits for You Credibility: Clients and colleagues regard you with a presumption of expertise Competitive advantage: Employers and clients want the experience that comes with the CFA c

5、harter Connections: Youll join a global network of more than 78,000 professionals Recognition: Youll earn a designation praised by employers and media Benefits for Your FirmA cost-effective and efficient way to increase the knowledge and professionalism of your staff A global program that tracks the

6、 needs of the industry and employers like you A measure of job applicants competence and integrity,CFA持证人薪资,基本薪水,薪水加红利,$ 194,000,工作10年以上 薪水加红利,$ 304,000,$ 392,000,美国,英国,香港,基本薪水,薪水加红利,$ 179,200,工作10年以上 薪水加红利,$ 320,000,$ 412,000,基本薪水,薪水加红利,$ 155,200,$ 217,600,$ 384,000,工作10年以上 薪水加红利,CFA VS MBA,CFA VS

7、MBA（工商管理硕士）,CFA VS 非CFA持证人士,$236,510VS $200,000 (高出18%的年薪） $255，000（同时拥有CFA和MBA）,$180,000 VS $116,850 （高出54%年薪）,如何成为CFA持证人,Interested in becoming a CFA charterholder? Heres what youll need to do: 1. Enter the CFA Program 2. Study for and pass the three levels of exams 3. Become a regular member of C

8、FA Institute 4. Get your charter 5. Maintain your charter status,讲座大纲,CFA会员介绍 CFA会员申请流程介绍 CFA工作经验介绍,申请会员资格,经过三年多的苦战，恭喜您顺利通过CFA三级考试； 要想拿到CFA证书，还必须申请成为CFA协会的会员 有的人在最后环节失败了，究其原因： 思想上不重视 流程上不清楚 工作经验描述上不准确 填写表格有错误,申请前准备,Personal Contact Information of business and home Room 1106, Zhenda Cubic Building, N

9、o. 58 Changliu Road, Pudong District, Shanghai, 200135 Resume（work experience description) Determine the Local Society you will choose CFA China、Hongkong or Singapore Two sponsors CFA local members in the society Supervisor (not necessary CFA charterholder), OR CFA charterholder not necessary local

10、member,申请步骤：一,登录CFA协会网站 点击membership resources下拉菜单中的member resources main页面，出现图：,申请步骤：一,点击上图页面中的apply for membership，出现如图：,申请步骤：一,输入用户名和密码之后，如图： 点击apply for membership,申请步骤：一,首先更新work experience，如图： 填写完毕后，保存。,申请步骤：一,Professional Profile Update ，更新个人信息，其中有10个问题需要回答。 问题如下（以下都是选择性问题

11、）： 问题一：What year did you start working in the investment industry？ 问题二：What is your current employment status？ 问题三：Please enter the name of the firm for which you are employed？,申请步骤：一,问题四：（如下图）,申请步骤：一,问题五：If you are involved in asset management, which best describes the entity that most directly hol

12、ds those assets？ 问题六：Please entry the average account value for the private individuals that you personally advise？,申请步骤：一,问题七：（如下图）,申请步骤：一,问题八：Which of the following best describes your professional responsibilities？ 问题九：（如下图）,申请步骤：一,问题十：（如下图）,申请步骤：二,选择你需要入会的地方，大陆地区基本上选则，CFA China、Hongkong or Singa

13、pore； 如图，点击apply；,申请步骤：二,完成上面所有步骤之后，出现如图，此页面显示，你个人在CFA官方网站上提出申请入会已经完成。,申请步骤：三,回到你的个人邮箱，你会收到一封CFA协会发的邮件，此封邮件是转发给你的两个sponsor的，邮件内容如下：,申请步骤：四Sample by GFedu,Analyze the macroeconomic trend in China and provide the recommendation for clients Determine clients investment objectives and constraints and fo

14、rmalize the IPS Measure the investment performance and provide the report to clients Rebalance and monitor the portfolio Value the equity for M&A,申请步骤：五,此时请把此链接发给你的Supervisor和Charterholder来帮你完成您的申请（建议将个人的简历和工作经验描述一并发给Sponsor，确保信息的一致性） 出现如图：,申请步骤：五,输入申请人的邮箱地址；,申请步骤：五,Sponsor Statements信息的填写（附图），两个选择题

15、是选“Yes”；,申请步骤：五,Professional Competence and Conduct，选择“No”,申请步骤：六（注意）,1 Regular CFA Institute member and the applicants supervisor, one of which must be a member of the society to which the individual is making application for membership. If the supervisor requirement cannot be met because the appli

16、cant is the principal of the firm, a student, retired, self-employed, or if providing a supervisor places the applicant in a difficult professional position, then an additional sponsorship by a Regular CFA Institute member is required.,申请步骤：七,您的两个sponsor帮您完成推荐后，会出现如下页面，表示您的入会申请已经全部完成。,申请步骤：八,申请人可登录C

17、FA观看网站查看您的申请状态，如图： CFA协会收到申请之后，需要花10-12周进行审核，一旦审核通过，CFA协会就会发邮件通知。,申请步骤：九,审核通过后，需要登录网站激活并且付费。（附图）,讲座大纲,CFA会员介绍 CFA会员申请流程介绍 CFA工作经验介绍,Working Experience,To earn your CFAcharter, you must become a regular member of CFAInstitute. There are threekey work experience criteria for regular membership. You mu

18、st have: 1. Four years (48 months) of work experience in . 2. A full-time position consisting of . 3. Qualifying activities, such as: Evaluating and applying financial, economic, or statistical data involving securities or other investments, or producing work that adds value to the process Supervisi

19、ng persons who practice such activities Teaching such activities,Whats acceptable work experience?,You are required to spend at least 50 percent of your time in qualifying activities to accrue your required professional work experience. Summer, part-time, and internship positions do not qualify. Man

20、aging your own investments does not qualify. Qualifying activities include being: Directly involved in the investment decision-making process or Engaged in responsibilities and/or producing a work product that informs or adds value to that process,Job Title,Do during the application,Allow several we

21、eks for your application to be reviewed and approved for membership. Provide a detailed description of your daily responsibilities, including what types of clients you serve. Describe how your position adds value to the investment decision-making process. Ask your sponsor to describe how you are eng

22、aged in work that impacts the investment decision-making process.,Dont during the application,Describe the general activities of your company. Rely on your job title as a substitute for describing your job duties. Request sponsor forms from someone who does not know the nature of your work. Wait until after you pass Level III to apply. The volume of applications may slow the review process and delay the aw