1. Trang chủ
  2. » Tài Chính - Ngân Hàng

Reading 03 II standards of professional conduct guidance integrity of capital markets questions and answers

27 28 0

Đang tải... (xem toàn văn)

Tài liệu hạn chế xem trước, để xem đầy đủ mời bạn chọn Tải xuống

THÔNG TIN TÀI LIỆU

Thông tin cơ bản

Định dạng
Số trang 27
Dung lượng 1,07 MB

Các công cụ chuyển đổi và chỉnh sửa cho tài liệu này

Nội dung

TN?CÿH@EUÿÿVDEMÿ@@UUW UECÿDÿUE??CÿEÿÿDÿXYÿUEYÿÿEHEÿÿ@?UÿAÿNEUÿ@ÿ [@EU 01234567ÿ\16]/ÿGÿÿ^ÿ[DHCÿ_^ÿ`aGÿIJK 23*42+ÿ9*4215*3/ bYÿQUNÿZYÿ`aG cDUYÿLUQYdÿQe>dÿÿNENDECÿDÿENEÿfEVÿeHÿLDE>ÿNDE@ÿAE

Trang 1

TN?CÿH@EUÿÿVDEMÿ@@UUW

UECÿDÿUE??CÿEÿÿDÿXYÿUEYÿÿEHEÿÿ@?UÿAÿNEUÿ@ÿ

[@EU

01234567ÿ\16]/ÿGÿÿ^ÿ[DHCÿ_^ÿ`aGÿIJK

)23*42+ÿ9*4215*3/

bYÿQUNÿZYÿ`aG

cDUYÿLUQYdÿQe>dÿÿNENDECÿDÿENEÿfEVÿeHÿLDE>ÿNDE@ÿAEÿDEUAdÿAÿUDUÿAÿUVNDYg

UEDUEdÿNN?EdÿDHÿUVNEWÿLUQYÿÿ?HÿZYÿAÿQOaÿ@ÿDÿVDhEÿNEHUÿFHEÿADÿAÿÿDZÿÿ@ÿDÿ?DBDCDÿfEVÿeHÿLDEMCÿC@UDÿHDVDCWÿLUQYÿUENEDÿAÿ@EVDÿÿAEÿDEUAÿENEBAUA

NEhUÿDÿHU?ÿÿNE@DZ?Yÿ@EÿfEVÿeHÿLDEHÿÿAÿVNHCÿ?CDWÿ>UUEHCÿÿAÿQe>ÿÿGDHDEH

@ÿRE@D?ÿQHUdLUQY

ADÿF?DHÿAÿGDHDEHÿZYÿHVDCÿU@HD?ÿ@EVDW

ADÿF?DHÿAÿGDHDEHÿZYÿiCÿVDED?ÿNZ?Uÿ@EVDW

ADÿÿF?DHÿDYÿGDHDEHW

OTN?DD

>UUEHCÿÿGDHDEHÿ>KÿLDED?ÿcNZ?Uÿ@EVDdÿDÿDD?YÿVÿÿDUÿEÿUDÿAEÿÿDUÿÿVDED?ÿNZ?

@EVDWÿSAÿ@EVDÿÿVDED?ÿÿAÿUVNDYgÿ@EÿNE@DZ?YdÿDHÿÿNZ?UÿZUDÿAÿ?DBADÿÿYZÿ@HÿDHÿÿÿYÿDÿVDEÿ@ÿNZ?UÿEUEHW

Trang 2

C>ÿ-;*-5ÿÿA*5*-5ÿEFÿG*-9ÿG*<,*.ÿ=>4>ÿ6ÿ>ÿ6,,=;ÿ*7ÿ44-;ÿ)*+,-Hÿ*5ÿA7Hÿ454ÿ1@((I1)J

Trang 3

443-ÿ,.?ÿ8,ÿ8ÿ350,>`ÿ3 /a,--ÿ,-+ÿ7220ÿ127ÿ3ÿ4-3,@Z228,ÿÿ.32.ÿ8ÿÿ80123@ÿ\ÿ12?ÿ7ÿ4ÿ8ÿ0-ÿ,-+ÿ72-.3ÿ8ÿ3_`ÿ?,2ÿ+43,2>@ÿ\ÿ5,>

Trang 4

0/+ÿ),)+ÿ0ÿ@,0*3ÿ>ÿ>)-*ÿ=Vÿ0ÿA-<=*:3ÿ+.*)-

*+ÿ0ÿ=):)*3ÿ+.*)-1

Trang 8

M1-0

01234567ÿNO6PQÿAÿÿRÿM)/4ÿSRÿETAÿC(D

U2VW42XÿYW42O5WVQ

01234567ÿNO6PQÿAÿÿRÿM)/4ÿSRÿETAÿC(D

U2VW42XÿYW42O5WVQ

Z+ÿK0,ÿ3+ÿETA

Trang 9

4*47ÿ1**71ÿ*.ÿ4/*77ÿ21ÿÿ1*Sÿ2ÿ0/1*ÿ38+4:ÿN+*1*,ÿÿ*.ÿÿ2ÿ0/1*ÿ1*.ÿ38+4:

@0/4

01234567ÿAB6CDÿEÿÿFÿ@*.7ÿ9FÿGHEÿ>)?

I2JK42LÿMK42B5KJD

N,ÿO43ÿ8,ÿGHE

Trang 13

*88=ÿÿ*ÿÿ92-2ÿ2ÿ->8*?ÿ5-=ÿ7,>*ÿÿ2ÿ**=?ÿ2*ÿ2*ÿÿ?ÿ3ÿ>*5ÿ83=-;

K7,-

Trang 14

1B2ÿ1ÿIÿ2ÿFÿIÿHNJÿ1EÿM1GÿÿIÿBÿFEB1OPIÿ11G@ÿC1EBC13ÿÿIÿBFEBÿB1GGIG2B2EÿIÿFEK1

YKDEÿHIÿB1ÿCBÿ3IEÿKÿFÿK1E1GÿCDGBÿFEK1ÿHIÿCDGBÿFEK1ÿB1JÿD12ÿCÿIÿK1B

IE@JÿÿBIÿFEK1ÿFEÿ123ÿCECO

0FEB

01234567ÿ*+6,-ÿ.ÿ'ÿ/ÿ0123ÿ(4/ÿ56.ÿ789

:2;<42=ÿ><42+5<;

-?@ÿABCÿD@ÿ56

Trang 16

-1Xÿ-(Nÿ,-.Nÿ7++ÿ+0ÿ)0+ÿ4ÿWXV<ÿÿ+0ÿ4+ÿ*+10ÿ4=ÿÿ017ÿ4ÿYÿ56ÿ+50ÿV151ÿ+1ÿ+9+**<ÿR+*0;ÿ/R1+*ÿ0+<ÿ*+1N4ÿ51Rÿ+ÿR7ÿ9770+Nÿ)0ÿÿ4ÿNÿÿ5<ÿV14+7N

9;ÿP4ÿR7ÿ9770+ÿÿ)1)10ÿÿ5ÿ:7ÿV151N5ÿ-(ÿ+9+**<ÿS=ÿÿ5ÿ56;ÿZÿ770+*<ÿ**

N[[[ÿV14+7ÿ41+0ÿ87+*ÿV151ÿÿ:17ÿ47ÿ:ÿ4ÿ56ÿ19770+;ÿV151ÿ770+*<ÿÿ+ÿ15+*N+0V14+7ÿ:+**ÿ5<ÿ\;ÿ-(]ÿ+9ÿ

ÿÿR*+ÿ:ÿ4ÿ,0ÿ+0ÿ/+0+10;

+ÿR*+ÿ:ÿ4ÿ/+0+10ÿ9916ÿÿ:ÿ7+1+*ÿ)5*9ÿ:17+;

Trang 17

&.ÿ(ÿ8+5+ÿ56ÿ($ÿ(ÿ3-ÿÿE28&,ÿ'+3$/

Trang 18

GUCBÿU>CGBÿ?DUCÿCYÿ@ÿGE>MUÿ?ÿAÿMDGTÿCG

@CÿECGÿ@ÿFCGCDGÿYXÿGUCBÿT?GC>ÿ?DUCV

@CÿECGÿ@ÿFCGCDGÿYXÿaBÿUCDC>ÿMY>Tÿ?DUCV

TDXÿCGÿU>C>XÿTDCÿCÿX@Tÿ>BÿMÿBÿGDECEV

e@ÿDBCDGÿÿFCGCDGÿIJÿKCDLÿKCM>C[ÿA@T@ÿ?ÿ@ÿ?>>ABÿCUÿTTDBÿRCX>D^ÿCGÿFU^ÿTGTÿP_bbNPRf

I@ÿRCX>DÿCGÿFUÿCDÿÿE>Cÿ?ÿFCGCDGÿIJV

RCX>DÿÿÿE>Cÿ?ÿFCGCDGÿIJ[YÿFUÿÿÿÿE>CV

Z@DÿRCX>DÿDÿFUÿÿÿE>Cÿ?ÿFCGCDGÿIJV

Trang 19

KÿAA@6ÿ-2ÿ@ÿAA26Bÿ=55ÿ.6ÿ,231ÿ6-35ÿA262/ÿH=@/-ÿ.6A2C

Kÿ22/BÿA2BÿÿAÿB=ÿ.ÿH=@/-ÿ.6A2C

-/1ÿA262/ÿH=@/-ÿ.6A2ÿ0/5ÿ,23ÿ2ÿA=2-ÿÿ,ÿ=6-ÿ.ÿ2ÿ-6Bÿ6

//P//-<ÿ.Aÿ,6ÿ=62/ÿ2 ÿ@ÿA2Bÿÿ//6Aÿ,ÿ=ÿ.5C

//P//-<ÿ.Aÿ,ÿ=ÿ.5ÿ@ÿA2Bÿÿ//6Aÿ,6ÿ=62/ÿ2 C

ÿ//P//-<ÿ.Aÿ,6ÿ,ÿ=ÿ.5ÿ6ÿ,6ÿ=62/ÿ2 C

43ÿ+26:ÿ2ÿS3/ÿMNKÿ-2552:ÿ,2ÿ5-55ÿÿ6ÿÿ2ÿ/1ÿ=ÿ.ÿN26A-ÿ-<Cÿ4-ÿN26A-ÿÿ,/Bÿ255:+26ÿÿ--65ÿ,ÿ656ÿ0/360,/Aÿ,ÿ/R5Bÿ.ÿN26A-ÿ25ÿ,ÿ=6-ÿ0/61Cÿ+26ÿ121ÿÿ2ÿ6ÿ.ÿ@/-<

25ÿÿ656ÿÿ2 A=/,ÿ,ÿ=6-,2CÿK 651ÿÿ425265ÿ89:;26<ÿ;2=/2:ÿ+26ÿ,2ÿ1215ÿ

,6ÿ22-H@25ÿA2=/2ÿ6ÿ.6A2H@25ÿA2=/2C

@,ÿ22-H@25ÿA2=/2ÿ25ÿ.6A2H@25ÿA2=/2C

22-H@25ÿA2=/2:ÿ@ÿÿ.6A2H@25ÿA2=/2C

Trang 21

91+ÿ3ÿ9ÿ/VYWÿ:521Tÿ3+ÿ9ÿ1::ÿ3ÿ9ÿ/VYWÿ:94,+7ÿÿ9ÿ:+ÿ3ÿ9ÿ:;+1.ÿ9ÿ/VYÿ1Tÿ9ÿA4+144Tÿ21Tÿ33A9ÿ9ÿ2:56ÿ1>;+ÿ6ÿ9+697ÿ*9ÿ:>=+>+ÿ:9:>ÿ9+ÿ+:ÿ1,ÿ3,ÿÿ3+51ÿ1=ÿ9

Trang 22

R,+4,1

Trang 24

,-ÿ,ÿR19ÿ2210ÿ2ÿU3/0-33:ÿ-93ÿÿ-ÿ3.ÿ70ÿ3.;ÿQ01ÿ1138ÿ,-ÿÿÿ90:ÿ343:ÿ,-ÿU3/0+3

Trang 25

6+*+,ÿ+0ÿ5=,.1

5=,.Cÿ=ÿÿ6+*+,1

E0*+ÿB+*ÿÿ+ÿ46ÿ++,>ÿ83ÿ3+ÿ+ 6,+0ÿ+0ÿ++,>F0ÿ4*+,ÿ5.ÿ)ÿ5=,.ÿ)*6+ÿ3*-3ÿ3*.+.ÿ83ÿ0*-ÿ)61ÿE,3-3ÿÿÿ5.ÿ)ÿ3ÿ)*6+ÿ3ÿ.,,.0ÿÿI6+*+,CIÿB+*ÿ.**.,>ÿ..,00ÿ3+ÿ3

+*-ÿ)ÿÿ)ÿ3ÿ0*-ÿ.65+ÿ8,0ÿ=ÿG5.0,>ÿ3-3ÿÿ3ÿ.6-ÿ>+*1E *0-ÿÿ@DEÿÿA+0+*0ÿ)7*)+,ÿ@0.CB+*

6+>ÿÿ3ÿ)*6+Cÿ=ÿ,>ÿ+)*ÿ+55*4+,ÿ6ÿ+ÿ.65,+.ÿ)).*ÿ*ÿ5*4*1

.+ÿ-+,,>ÿ4ÿ*ÿ6+9ÿ*.660+ÿ=+0ÿÿ3ÿ)*6+1

.+ÿÿ3ÿ)*6+ÿÿ6+9ÿ46ÿ.660+ÿ+0ÿ0.1

Trang 27

&-998,ÿ.$ÿ:&ÿ'1ÿ.$&ÿÿ;&$8<&8(ÿ-2ÿ=ÿÿ$5$&ÿ.$ÿ.ÿ9$,ÿ.$ÿ'ÿ4#$-8ÿÿ.ÿÿ$ÿ.7ÿ5$ÿ4#$-8ÿ$ÿ$ÿ4&$6ÿ'1ÿ$ÿ65ÿ&-2ÿ3.ÿÿ.ÿ.&8ÿ9ÿ.ÿ.$ÿ.$448ÿ:&ÿ.ÿ4$ÿ9.ÿ$8ÿ$-.ÿ9

.ÿ-6ÿ',ÿ98ÿ9:8ÿÿ4&-ÿ$ &8,ÿÿ.ÿ'1ÿ&ÿ##-998$2

*&0ÿ*>(ÿ)*+(ÿ9$$ÿ$8ÿ48$ÿ.ÿ/0%1ÿÿ$8ÿ.$ÿ#$&8ÿ.5ÿÿ8&9ÿ.ÿ7ÿ',ÿ$'8ÿ

%&'&ÿ$&ÿ$-$##1ÿ:$#82ÿ?:&$#ÿ8$1ÿ#$&(.ÿ'&:ÿ$ÿ:9ÿ-998$(ÿ48ÿÿ.ÿ(ÿÿ'1ÿ%&.$9(

-2ÿ3.ÿ:9ÿ-998$ÿÿ4&4&8ÿÿ'ÿ<9ÿ%&'&('ÿ*>ÿ$-$##1ÿ65ÿÿ'ÿ',2ÿ=ÿ998$#1ÿ##

(@@@ÿ%&.$9ÿ.&$8ÿA9$#ÿ%&'&ÿÿ<&9ÿ.9ÿ<ÿ.ÿ',ÿ&-998$2ÿ%&'&ÿ998$#1ÿÿ$ÿ&'$#($8

%&.$9ÿ<$##ÿ'1ÿB2ÿ*>Cÿ$-ÿ

ÿÿ:#$ÿ<ÿ.ÿ)8ÿ$8ÿ?$8$&82

$ÿ:#$ÿ<ÿ.ÿ?$8$&8ÿ--&,ÿÿ<ÿ9$&$#ÿ4'#-ÿ<&9$2

$ÿ:#$ÿ<ÿ.ÿ?$8$&8ÿ--&,ÿ<8-$&1ÿ82

+ÿ-6'&6&ÿ5.ÿÿ$ÿ99'&ÿ<ÿ)*+ÿÿ.$ÿ$ÿ4$&9ÿ.64&ÿ5.ÿ$#ÿ5&6ÿ<&ÿ.ÿ)DEÿ<ÿ*:$#(-2ÿE8$1ÿ.ÿ.64&ÿ9ÿÿ.ÿ'&6&ÿ.$ÿ.ÿ$5ÿ.ÿ)DEÿ<ÿ*:$#ÿ.$:,ÿ$ÿ-:&$ÿ$ÿ.ÿ.9ÿ5.ÿF.ÿ3$&(5.ÿÿ$ÿ$$##1ÿ65ÿ-&4&$ÿ#$51&ÿ$8ÿ-#$23.ÿ-6'&6&ÿÿ&&-8ÿ<9ÿ$8,ÿÿ.ÿ<&9$

#1ÿ.ÿ'&6&ÿ65ÿ.$ÿ.ÿ9,ÿÿA4'#-ÿ<&9$2

<&ÿ'.ÿ<ÿ.ÿ&$ÿ#8ÿ.&2

.ÿ.64&ÿ$1ÿ.ÿ9,ÿ--&8ÿ$ÿ8&ÿ<<&ÿ$8ÿ.ÿ'&6&ÿ65

.$ÿÿÿA4'#-ÿ<&9$2

Ngày đăng: 16/10/2021, 14:32

🧩 Sản phẩm bạn có thể quan tâm