cfa课程核心课程表.doc

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1、中信泰富 荣智健 国航东航上航 玩 积累看涨期权 全亏凯雷收购徐工，可口可乐收购汇源 南孚电池被吉利金霸王电池兼并收购新浪创始人王志东被扫地出门课程名LEVEL ONEEthical and Professional StandardsSession 1：Ethical and Professional Standards 道德与行为准则Reading 1: Code of Ethics and Standards of Professional Conduct 道德与职业行为准则Reading 2: Guidance for Standards I VII 职业行为准则I VII指导Read

2、ing 3: Introduction to the Global Investment Performance Standards (GIPS.) and 全球投资业绩报告准则导论Reading 4: Global Investment Performance Standards 全球投资业绩报告准则QuantitativeSession 2：Quantitative Methods:Basic Concepts 计量方法：基本概念Reading 5: The Time Value of Money 资金的时间价值Reading 6: Discounted Cash Flow Applica

3、tions 现金流量折现应用Reading 7: Statistical Concepts and Market Returns 统计概念和市场收益Reading 8: Probability Concepts 概率概念Session 3：Quantitative Methods:Application 计量方法：应用Reading 9: Common Probability Distributions 常用概率分布Reading 10: Sampling and Estimation 抽样与推断Reading 11: Hypothesis Testing 假设检验Reading 12: Te

4、chnical Analysis 技术分析EconomicsSession 4：Economics:Microeconomic Analysis 经济学：微观经济分析Reading 13: Elasticity 弹性Reading 14: Efficiency and Equity 效率与权益Reading 15: Markets in Action 实际中的市场Reading 16: Organizing Production 组织生产Reading 17: Output and Costs 产出和成本Session 5：Economics:Market Structure and Macr

5、oeconomic Analysis 经济学：市场结构以及宏观经济分析Reading 18: Perfect Competition 完全竞争Reading 19: Monopoly 完全垄断Reading 20: Monopolistic Competition and Oligopoly 垄断竞争与寡头垄断Reading 21: Markets for Factors of Production 生产要素市场Reading 22: Monitoring Cycles,Jobs,and the Price Level 监视周期，就业与价格水平Reading 23: Aggregate Sup

6、ply and Aggregate Demand 总需求与总供给Session 6：ECONOMICS:Monetary and Fiscal EconomicsMoney, Banks, and the Federal Reserve 货币与财政政策Reading 24: Money,the Price Level,and Inflation 货币，物价水平和通胀Reading 25: U.S.Inflation,Unemployment,and Business Cycles 美国之通胀，失业和经济周期Reading 26: Fiscal Policy 财政政策Reading 27: Mo

7、netary Policy 货币政策Reading 28: An Overview of Central Banks 央行概览Financial Statement Analysis Session 7：FSA:An Introduction 财务报告分析：导论Preliminary accounting course*(see footnote)会计学预备知识Reading 29: Financial Statement Analysis: An Introduction 财务报表分析：导论Reading 30: Financial Reporting Mechanics 财务报告机制Rea

8、ding 31: Financial Reporting Standards 财务报告准则Session 8：FSA:The Income Statement,Balance Sheet,and Cash Flow Statement 财务报告分析：利润表，资产负债表，以及现金流量表Reading 32: Understanding the Income Statement 理解利润表Reading 33: Understanding the Balance Sheet 理解资产负债表Reading 34: Understanding the Cash Flow Statement 理解现金流

9、量表Session 9：FSA:Inventories, Long-Term Assets,Deferred Taxes,and On- and Off-Balance-Sheet Debt 财务报告分析：存货，长期资产，递延税收，以及表内表外负债Reading 35: Inventories 存货Reading 36: Long-Lived Assets 长期资产Reading 37: Income Taxes 所得税Reading 38: Long-Term Liabilities and Leases 长期债务与租赁Session 10：FSA:Techniques, Applicati

10、ons,and International Standards Convergence 财务报表分析：技术，应用以及国际准则趋同Reading 39: Financial Analysis Techniques 财务分析技术Reading 40: Financial Reporting Quality: Red Flags and Accounting Warning Signs 财务报告质量：预警信息Reading 41: Accounting Shenanigans on the Cash Flow Statement 现金流量表上的会计舞弊Reading 42: Financial St

11、atement Analysis: Applications 财务报表分析：应用Reading 43: International Standards Convergence 国际会计准则趋同Corporate FinanceSession 11：Corporate Finance 公司财务Reading 44: Capital Budgeting 资本预算Reading 45: Cost of Capital 资本成本Reading 46: Working Capital Management 营运资本管理Reading 47: Financial Statement Analysis 财务

12、报表分析Reading 48: The Corporate Governance of Listed Companies 上市公司治理结构Portfolio ManagementSession 12：Portfolio Management 组合管理Reading 49: The Asset Allocation Decision 资产配置决策Reading 50: An Introduction to Portfolio Management 投资组合管理导论Reading 51: An Introduction to Asset Pricing Models 资产定价模型导论Equity

13、Session 13：Analysis of Equity Investments:Securities Markets 权益投资：证券市场Reading 52: Organization and Functioning of Securities Markets 证券市场组织与运行Reading 53: Security-Market Indexes 证券市场指数Reading 54: Efficient Capital Markets 有效资本市场Reading 55: Market Efficiency and Anomalies 市场有效性与异常Session 14：Analysis

14、of Equity Investments:Industry and Company Analysis 权益投资：行业与公司分析Reading 56: An Introduction to Security Valuation 证券估价导论Reading 57: Industry Analysis 行业分析Reading 58: Equity: Concepts and Techniques 权益：概念与技术Reading 59: Introduction to Price Multiples 价格乘数导论Fixed Income Session 15：Analysis of Fixed In

15、come Investments:Basic Concepts 固定收益投资：基本概念Reading 60: Features of Debt Securities 债券特征Reading 61: Risks Associated with Investing in Bonds 债券投资风险Reading 62: Overview of Bond Sectors and Instruments 债券板块与工具概览Reading 63: Understanding Yield Spreads 理解收益级差Session 16：Analysis of Fixed Income Investment

16、s:Analysis and Valuation 固定收益投资：分析与估价Reading 64: Introduction to the Valuation of Debt Securities 债券估价导论Reading 65: Yield Measures, Spot Rates, and Forward Rates 收益衡量：即期利率与远期利率Reading 66: Introduction to the Measurement of Interest Rate Risk 利率风险衡量导论DerivativesSession 17：Derivative Investments 衍生工具投

17、资Reading 67: Derivative Markets and Instruments 衍生工具与市场Reading 68: Forward Markets and Contracts 远期合约与市场Reading 69: Futures Markets and Contracts 期货合约和市场Reading 70: Option Markets and Contracts 期权合约和市场Reading 71: Swap Markets and Contracts 互换合约和市场Reading 72: Risk Management Applications of Option St

18、rategies 利用期权管理风险Alternative InvestmentsSession 18：Alternative Investments 其它投资Reading 73: Alternative Investments 其他投资Reading 74: Investing in Commodities 商品投资课程名 LEVEL TWOEthical and Professional StandardsSession 1：ETHICAL AND PROFESSIONAL STANDARDS道德与行为准则Reading 1: Code of Ethics and Standards of

19、 Professional Conduct 道德与职业行为准则Reading 2: Guidance for Standards I VII职业行为准则I VII指导Reading 3: CFA Institute Soft Dollar Standards CFA协会软美元准则Reading 4. CFA Institute Research Objectivity Standards CFA协会研究客观性准则Session 2：ETHICAL AND PROFESSIONAL STANDARDS:Application道德与行为准则应用Reading 5:. The Glenarm Com

20、pany Glenarm 公司Reading 6: Preston Partners Preston合伙人Reading 7: Super Selection 优异选择Reading 8: Trade Allocation: Fair Dealing and Disclosure 交易分配：公平交易与披露Reading 9: Case: Changing Investment Objectives 案例：变化的投资目标Reading 10: Prudence in Perspective 透视谨慎Quantitative MethodsSession 3：QUANTITATIVE METHOD

21、S:Quantitative Methods for Valuation估值数量方法Reading 11: Correlation and Regression 相关与回归Reading 12: Multiple Regression and Issues in Regression Analysis 多元回归及回归中的问题Reading 13: Time-Series Analysis 时间序列分析EconomicsSession 4：ECONOMICS:Economics for Valuation估值的经济学Reading 14: Economic Growth 经济增长Reading

22、15: Regulation and Antitrust Policy in a Globalized Economy 全球化经济下的管制与反托拉斯政策Reading 16: Trading with the World 国际贸易Reading 17: The Exchange Rate and the Balance of Payments 汇率与国际收支平衡Reading 18: Currency Exchange Rates 汇率Reading 19: Foreign Exchange Parity Relations 外汇平价关系Reading 20: Measuring Econom

23、ic Activity 衡量经济活动Financial Statement AnalysisSession 5：FINANCIAL STATEMENT ANALYSIS:Intercorporate Investments公司间投资分析Reading 21: Analysis of Intercorporate Investments 公司间投资分析Reading 22: Variable Interest Entities,Intercompany Debt,Consolidated Cash Flows, and Other Issues 可变利益实体，公司间债务，合并现金流量以及其它问题

24、Session 6：Post-Retirement and Share-BasedCompensation and Multinational Operations 福利与多国经营分析Reading 23: Employee Compensation: Post-Retirement and Share-Based 员工报酬：退休后福利与基于股权薪酬的核算Reading 24: Analysis of Multinational Operations 跨国经营分析Session 7：Earnings Quality Issues and FinancialRatio Analysis 收益质量

25、与财务比率分析Reading 25: The Lessons We Learn 我们获取的教训Reading 26: Evaluating Financial Reporting Quality 财务报告质量评估Reading 27: Analysis of Financial Statements: A Synthesis 财务报表分析：综合Corporate FinanceSession 8：CORPORATE FINANCE公司财务Reading 28: Capital Budgeting 资本预算Reading 29: Capital Structure and Leverage 资本

26、结构与杠杆Reading 30: Dividends and Dividend Policy 股利与股利政策Session 9：CORPORATE FINANCE:Financing and Control Issues 融资与控制问题Reading 31: Corporate Governance 公司治理Reading 32: Mergers and Acquisitions 收购与兼并EquitySession 10：EQUITY INVESTMENTS:Valuation Concepts 权益投资：估值概念Reading 33: A Note on Asset Valuation 资

27、产估价一注解Reading 34: The Equity Valuation Process 权益估价过程Reading 35: Equity: Markets and Instruments 权益：市场与工具Reading 36 Return Concepts 收益概念Session 11：Industry and Company Analysisin a Global Context 全球背景下的行业与公司分析Reading 37: Equity: Concepts and Techniques 权益：概念与技术Reading 38: The Five Competitive Forces

28、 that Shape Strategy 五力竞争模型Reading 39: Industry Analysis 行业分析Reading 40: Valuation in Emerging Markets 新兴市场估价Reading 41 Discounted Dividend Valuation 股利折现估值Session 12：EQUITY INVESTMENTS:Valuation Models 估价模型Reading 42: Free Cash Flow Valuation 自由现金流量估价Reading 43: Market-Based Valuation: Price Multip

29、les 基于市场的估价：价格乘数Reading 44: U.S. Portfolio Strategy: Seeking ValueAnatomy of Valuation 美国组合策略：寻求价值Reading 45: Residual Income Valuation 剩余收益估价Session 13： ALTERNATIVE ASSET VALUATION 其它资产估值Reading 46: Investment Analysis 投资分析Reading 47: Income Property Analysis and Appraisal 收益资产分析和评估Reading 48: Priv

30、ate Equity Valuation 未上市股权估值Reading 49: Investing in Commodities 商品投资Reading 50: Evaluating the Performance of Your Hedge Funds 评估你的对冲基金的业绩Reading 51: Buyers Beware: Evaluating and Managing the ManyFacets of the Risks of Hedge Funds 投资者谨慎：评估和管理对冲基金风险的多方面Fixed IncomeSession 14：FIXED INCOME INVESTMENT

31、S:Valuation Concepts 固定收益：估值概念Reading 52: General Principles of Credit Analysis 信用分析的一般原则Reading 53 The Liquidity Conundrum 流动性的光谱Reading 54: Term Structure and Volatility of Interest Rates 利率的期限结构与波动性Reading 55: Valuing Bonds with Embedded Options 含有隐含期权的债券Session 15：FIXED INCOME:Structured Securit

32、ies 固定收益：结构化证券Reading 56: Mortgage-Backed Sector of the Bond Market 债券市场的抵押支持债券板块Reading 57: Europes Whole Loan Sales Market Burgeoning asMortgage Credit Market Comes of Age 欧洲的批发贷款市场蓬勃因为抵押信用市场老化Reading 58: Asset-Backed Sector of the Bond Market 债券市场的资产支持债券板块Reading 59: Valuing Mortgage-Backed and A

33、sset-Backed Securities 资产支持债券和抵押支持债券估价DerivativesSession 16：STUDY SESSION 16DERIVATIVES:Forwards and Futures 衍生工具：远期与期货Reading 60: Forward Markets and Contracts 远期合约与市场Reading 61: Futures Markets and Contracts 期货合约和市场Session 17：STUDY SESSION 17DERIVATIVES:Options, Swaps, and Interest Rateand Credit

34、Derivatives 衍生工具：期权，互换，利率与信用衍生工具Reading 62: Option Markets and Contracts 期权合约和市场Reading 63: Swap Markets and Contracts 互换合约和市场Reading 64: Interest Rate Derivative Instruments 利率衍生工具Reading 65: Using Credit Derivatives to Enhance Return and Manage Risk 使用信用衍生工具提升收益和管理风险Portfolio ManagementSession 18：

35、Capital Market Theory and the Portfolio Management Process 组合管理Reading 66: Portfolio Concepts 投资组合概念Reading 67: A Note on Harry M. Markowitzs “Market Efficiency:A Theoretical Distinction and So What?” Markowitz 市场有效性注解Reading 68: International Asset Pricing 国际资产定价Reading 69: The Theory of Active Por

36、tfolio Management 积极组合管理的理论Reading 70: Taxes and Private Wealth Management in a Global Context 全球背景下的税收与私人财富管理Reading 71: The Portfolio Management Process and the InvestmentPolicy Statement 组合管理过程与投资政策说明书LEVEL 3SESSION 1:CODE OF ETHICS AND STANDARDS OF PROFESSIONAL CONDUCTReading 1: Code of Ethics a

37、nd Standards of Professional Conduct 道德与职业行为准则Reading 2:“Guidance” for Standards IVII 准则指引SESSION 2:ETHICAL AND PROFESSIONAL STANDARDS IN PRACTICEReading 3: Ethics in Practice 实践中的道德Reading 4: The Consultant 咨询师Reading 5: Pearl Investment Management (A), (B), and (C) Pearl投资管理案例Reading 6: Asset Mana

38、ger Code of Professional Conduct 资产管理经理行为准则SESSION 3:BEHAVIORAL FINANCEReading 7: Heuristic-Driven Bias: The First Theme 启发式偏差Reading 8: Frame Dependence: The Second Theme 框架依赖Reading 9: Inefficient Markets: The Third Theme 无效市场Reading 10: Portfolios, Pyramids, Emotions, and Biases 组合，金字塔，情绪与偏差Readi

39、ng 11: Investment Decision Making in Defined ContributionPension Plans 固定提取养老金计划中的投资决策Reading 12: The Folly of Forecasting: Ignore All Economists, Strategists,and Analysts 预测中的误差：忽略经济学家，策略师和分析师Reading 13: Alpha Hunters and Beta Grazers 阿尔法和贝塔追求者SESSION 4:PRIVATE WEALTH MANAGEMENTReading 14: Managing

40、 Individual Investor Portfolios 管理个人投资者组合Reading 15: Excerpts from Investment Managementfor Taxable Private Investors 应税私人投资者投资管理摘要Reading 16: Multiple Asset Locations 多区域投资Reading 17: Low-Basis Stock 低基股票Reading 18: Goals-Based Investing: Integrating Traditionaland Behavioral Finance 基于目标的投资：传统与行为金

41、融融合Reading 19: Life-Cycle Investing 生命周期投资Reading 20: Human Capital, Asset Allocation, and Life Insurance 人力资本，资产配置以及人寿保险SESSION 5:PORTFOLIO MANAGEMENT FOR INSTITUTIONAL INVESTORSReading 21: Managing Institutional Investor Portfolios 机构投资者组合管理Reading 22: Allocating Shareholder Capital to Pension Pla

42、ns 分配权益资本至养老金计划SESSION 6:CAPITAL MARKET EXPECTATIONSIN PORTFOLIO MANAGEMENTReading 23: Capital Market Expectations 资本市场预期SESSION 7:ECONOMIC CONCEPTS FOR ASSETVALUATION IN PORTFOLIO MANAGEMENTReading 24: Macroanalysis and Microvaluation of the Stock Market 股市宏观分析与微观估值Reading 25: Dreaming with BRICs:

43、The Path to 2050 与金砖四国共舞：通向2050之路SESSION 8:ASSET ALLOCATIONReading 26: Asset Allocation 资产配置Reading 27: Linking Pension Liabilities to Assets 联系养老金资产与负债Reading 28: The Case for International Diversification 国际性分散化案例SESSION 9:MANAGEMENT OF PASSIVE ANDACTIVE FIXED INCOME PORTFOLIOSReading 29: Fixed-In

44、come Portfolio ManagementPartI 固定收益组合管理第一部分Reading 30: Relative-Value Methodologies for Global Credit Bond PortfolioManagement 全球信用债券组合管理的相对价值方法SESSION 10:PORTFOLIO MANAGEMENT OF GLOBAL BONDS AND FIXED INCOME DERIVATIVESReading 31: Fixed-Income Portfolio ManagementPart II 固定收益组合管理第二部分cReading 32: He

45、dging Mortgage Securities to Capture Relative Value 套期抵押支持证券以获取相对收益SESSION 11:EQUITY PORTFOLIO MANAGEMENTReading 33: Equity Portfolio Management 权益组合管理SESSION 12:SPECIAL ISSUES IN EQUITY PORTFOLIO MANAGEMENTReading 34: Corporate Governance 公司金融Reading 35: International Equity Benchmarks 全球权益基准Readin

46、g 36: Emerging Markets Finance 新兴市场金融SESSION 13:ALTERNATIVE INVESTMENTS FOR PORTFOLIO MANAGEMENTReading 37: Alternative Investments Portfolio Management 其它投资组合管理Reading 38: Swaps 互换Reading 39: Commodity Forwards and Futures 商品远期与期货SESSION 14:RISK MANAGEMENTReading 40: Risk Management 风险管理Reading 41:

47、 Currency Risk Management 货币风险管理SESSION 15:RISK MANAGEMENT APPLICATIONS OF DERIVATIVESReading 42: Risk Management Applications of Forward and Futures Strategies 风险管理应用：远期与期货策略Reading 43: Risk Management Applications of Option Strategies 风险管理应用：期权策略Reading 44: Risk Management Applications of Swap Strategies 风险管理应用：互换策略SESSION 16:EXECUTION OF PORTFOLIO DECISIONS;MONITORING AND REBALANCINGReading 45: Execution of Portfolio Decisions 组合决策之执行Reading 46: Monitoring and Rebalancing 监视和再平衡SESSION 17:PERFORMANCE EVALUATION AND ATTRIBUTIONReading 47: Evaluating P