| 2007年6月CFA LEVEL 3 远程教育辅导课程详细列表 |
| 课程名 |
Session 1：
Code of Ethics and Professional Standards道德准则与职业规范 | 1. “Code of Ethics and Standards of Professional Conduct,” 道德准则与职业规范 |
| 2. “Guidance” for Standards I – VII, 准则I – VII指导 |
Session 2：
Ethical and Professional Standards in Practice执业中的道德准则与行为规范 | 3. “Ethics in Practice,” 执业中的道德 |
| 4. “The Consultant,” 咨询师 |
| 5. “Pearl Investment Management (A), (B), and (C),” Pearl投资管理 |
| 6. “Ethics and Investment Management: True Reform,” 道德和投资管理：真正的改革 |
| 7. Asset Manager Code of Professional Conduct, including Appendix A 资产经理之执业行为准则 |
Session 3：
Quantitative Methods for Portfolio Management and Wealth Planning投资组合管理和财富规划中的计量方法 | 8. “Time-Series Analysis,” 时间序列分析 |
| 9. “Portfolio Concepts,” 组合概念 |
| 10. A Note on Harry M. Markowitz’s “Market Efficiency: A Theoretical Distinction and So What?” Markowitz的市场有效性 |
Session 4：
Behavioral Finance行为金融学 | 11. “Heuristic-Driven Bias: The First Theme,”启发式偏见 |
| 12. “Frame Dependence: The Second Theme,” 框架依赖 |
| 13. “Inefficient Markets: The Third Theme,” 无效的市场 |
| 14. “Portfolios, Pyramids, Emotions, and Biases,” 组合，金字塔，情绪与偏见 |
| 15. “Investment Decision Making in Defined Contribution Pension Plans,” 明确提存性养老金投资决策 |
| 16. “Global Equity Strategy: The folly of forecasting: Ignore all economists, strategists, & analysts,” 全球权益投资策略：预测之荒唐：忘记所有经济学家，战略家和分析师 |
| 17. “A Survey of Behavioral Finance,” 行为金融学概论 |
| 18. “Alpha Hunters and Beta Grazers,” Alpha寻求者和Beta获取者 |
Session 5：
Private Wealth Management私人财富管理 | 19. “Managing Individual Investor Portfolios,”个人投资者组合管理 |
| 20. “Life-Cycle Investing,” 生命周期投资 |
| 21. Excerpts from “Lifestyle, Wealth Transfer and Asset Classes,”生活方式，财富转让与资产类别摘要 |
| 22. “Multiple Asset Locations,” 多重资产地理 |
| 23. “Low-basis stock,”低基点股票 |
| 24. “Goals-Based Investing: Integrating Traditional and Behavioral Finance,” 基于目标的投资：传统与行为金融学结合 |
Session 6：
Portfolio Management for Institutional Investors机构投资者组合管理 | 25. “Managing Institutional Investor Portfolios,” 管理机构投资者组合 |
Session 7：
Economic Concepts for Asset Valuation in Portfolio Management组合管理中资产估价的经济概念 | 26. “Capital Market Expectations,” 资本市场预期 |
| 27. “Why Worry about Inflation” 为何担心通胀 |
| 28. “Macroanalysis and Microvaluation of the Stock Market,” 股市宏观分析于微观估价 |
| 29. “The Most Influential U.S. Economic Indicators,” 最具影响力的美国经济指标 |
| 30. “International Economic Indicators: Why Are They So Important?” 国际经济指标：为何如此重要？ |
Session 8：
Asset Allocation资产分配 | 31. “Asset Allocation,” 资产分配 |
| 32. “Linking Pension Liabilities to Assets,” 养老金负债与资产之联系 |
Session 9：
Management of Passive and Active Fixed Income Portfolios固定收益积极和消极管理 | 33. “Introduction to Bond Portfolio Management,” 债券组合管理之导论 |
| 34. “Measuring a Portfolio’s Risk Profile,” 衡量组合之风险 |
| 35. “Managing Funds against a Bond Market Index,” 以债券指数作为基准管理基金 |
| 36. “Portfolio Immunization and Cash Flow Matching,” 组合免疫与现金匹配 |
Session 10：
Portfolio Management of Global Bonds and Fixed Income Derivatives全球债券投资和固定收益衍生证券组合管理 | 37. “Relative-Value Methodologies for Global Credit Bond Portfolio Management,” 全球信用债券组合管理的相对价值分析 |
| 38. “International Bond Portfolio Management,” 国际债券投资组合管理 |
| 39. “Controlling Interest Rate Risk with Derivatives,” 利用衍生工具控制利率风险 |
| 40. “Hedging Mortgage Securities to Capture Relative Value,” 通过抵押贷款套期保值获取相对收益 |
| 41. “Credit Derivatives in Bond Portfolio Management,” 债券组合管理中的信用衍生工具 |
Session 11：
Equity Portfolio Management权益组合管理 | 42. “Equity Portfolio Management,” 权益组合管理 |
| 43. “The Losers Game,” 失败者的游戏 |
| 44. “Corporate Governance,” 公司治理 |
Session 12：
Alternative Investments for Portfolio Management其它投资组合管理 | 45. “Alternative Investments Portfolio Management,” 其它投资组合管理 |
| 46. “Swaps,” 互换 |
| 47. “Commodity Forwards and Futures,” 商品远期与期货 |
Session 13：
Risk Management风险管理 | 48. “Risk Management,” 风险管理 |
Session 14：
Derivatives Risk Management Strategy利用衍生证券风险管理 | 49. “Risk Management Applications of Forward and Futures Strategies,” 远期和期货风险管理中的应用 |
| 50. “Risk Management Applications of Option Strategies,” 期权在风险管理中的应用 |
| 51. “Risk Management Applications of Swap Strategies,” 互换在风险管理中的应用 |
| 52. “Should We Fear Derivatives,”我们应恐惧衍生工具吗？ |
| 53. “Derivatives and Hedging Activities,”衍生工具与套期保值 |
Session 15：
Monitoring, Rebalancing, and Execution of Portfolio Decisions组合决策的监视，再平衡，和执行 | 54. “Monitoring and Rebalancing,” 监视与再平衡 |
| 55. “Execution of Portfolio Decisions,” 组合决策之执行 |
Session 16：
Performance Evaluation and Attribution业绩评价和归因 | 56. “Evaluating Portfolio Performance,” 评估组合业绩 |
| 57. “Fixed-Income Benchmarks,” 固定收益基准 |
| 58. “Compared to What? A Debate on Picking Benchmarks,” 与什么相比？基准选择之争论 |
| 59. “Global Performance Evaluation,” 全球投资业绩评估 |
| 60. “International Equity Benchmarks,” 国际股权基准 |
Session 17：
Portfolio Management in a Global Context全球背景下的组合管理 | 61. “The Case for International Diversification,” 国际分散化 |
| 62. “Currency Risk Management,” 货币风险管理 |
| 63. “Investing in Emerging Stock Markets,” 新兴股市投资 |
| 64. “Beyond the Big 50—Opportunities in Emerging Markets,”超越50强，新兴市场之机会 |
| 65. “Structuring the Global Investment Process,” 构造全球投资过程 |
Session 18：
Global Investment Performance Standards全球投资业绩报告标准 | 66. “Global Investment Performance Standards,” 全球投资业绩报告标准 |
