原来PE都要求披露。。。抱拳~~~
回2楼：
个人整理的AMCPC教材考点。如果有用，尽管拿去
需要注意compliance officer相关题型，可能考的比这个细
1. Loyalty to clients
2. Investment process and actions
3. Trading
4. Compliance and support
5. Performance and valuation
6. Disclosures
1. Designing salary arrangements
2. Creating a procedure that delineates how confidential client information should be collected, utilized, and stored
3. Creating an anti-money-laundering policy
4. Determining what constitutes a token gift
1. Never engage in market manipulation
2. Deal fairly with all clients
3. Thoroughly investigate and research different investment options and have a reasonable basis
Having different levels of service and products available to all clients and fully disclose
Conduct stress testing on derivative products
1. Hire a compliance officer report to CEO or BOD, responsible for training, updating procedures, and review employee trading practices
2. Ensuring portfolio information to be disseminated to client is accurate and complete, and reviewed by a 3rd party
3. Appropriately maintaining records
4. Employing qualified staff and adequate resources
5. Instituting a contingency plan
1. Timely basis in an understandable manner
2. Informed decision
3. Disclose potential conflict of interests such as soft dollars
4. Regulatory disciplinary actions against the manager
5. Decision making process
6. Return in both gross/net of fees, fee schedule, projection of fees charged, and itemized list of actual cost and fees
7. Soft dollars used
8. Quarterly and within 30 days
9. Methods used in valuation
10. Proxy voting
11. How shares are allocated
12. Audit results | 
发表于 2010-5-23 11:59
| 
