ssion 投资职业道德
Ethical practices by the investment professional benefit all market participants and stakeholders and lead to increased investor confidence in global capital markets. Ethical practices instill a public trust in the fairness of markets, allowing them to function efficiently. In short, we can say that good ethics is a fundamental requirement to the investment profession.
投资专业人士的道德实践有利于所有市场参与者和利益相关者，并提高投资者对全球资本市场的信心。道德实践灌输了公众对市场公平的信任，使其能够有效运作。简而言之，我们可以说，良好的道德规范是投资行业的基本要求。
The Code of Ethics for Finance and Investment 金融和投资道德规范
Act with integrity, competence, diligence, respect and in an ethical manner with the public, clients, prospective clients, employers, employees, colleagues in the investment profession, and other participants in the global capital markets.与公众、客户、潜在客户、雇主、员工、投资行业的同事以及全球资本市场的其他参与者一起，以诚信、能力、勤勉、尊重和道德的方式行事。
Place the integrity of the investment profession and the interests of clients above their own personal interests. 将投资行业的诚信和客户的利益置于个人利益之上。
Use reasonable care and exercise independent professional judgment when conducting investment analysis, making investment recommendations, taking investment actions, and engaging in other professional activities.在进行投资分析、提出投资建议、采取投资行动和从事其他专业活动时，应合理谨慎并行使独立的专业判断。
Practice and encourage others to practice in a professional and ethical manner that will reflect credit on themselves and the profession.实践并鼓励他人以专业和道德的方式实践，这将反映出自己和专业的信誉。
Promote the integrity of, and uphold the rules governing, capital markets.促进资本市场的完整性，维护资本市场的规则。
Maintain and improve their professional competence and strive to maintain and improve the competence of other investment professionals. 保持和提高他们的专业能力，并努力保持和提高其他投资专业人员的能力。
See:参见：
Ethical and Professional Standards and Quantitative Methods. Level I 2008. Pearson Custom Publishing
The Psychology of Ethics in the Finance and Investment Industry 金融投资行业的伦理心理
Financial and investment professionals are mainly susceptible to ethical misconduct. But what makes some obviously violate ethical standards and even violate the law while others behave highly ethically? Besides in all the courses taught in the entire business program we are taught that the objective of rationale individual is to maximize wealth. The psychology of ethics tries to find out why and when does a person behave (un) ethical way, their motivation, influence and social dynamic behind a certain active. It also tries to analyze individual cognitive and emotional dynamics. This analysis will help figure out the most effective may an ethical code can be written and implemented.
金融和投资专业人员主要容易受到道德不端行为的影响。但是，是什么让一些人明显违反了道德标准，甚至违反了法律，而另一些人却表现得很道德呢？除此之外，在整个商业课程中教授的所有课程中，我们都被教导，个人的基本原理目标是实现财富最大化。伦理心理学试图找出一个人为什么以及什么时候会以不道德的方式行事，他们的动机、影响以及某种行为背后的社会动态。它还试图分析个人的认知和情绪动态。这一分析将有助于找出最有效的道德准则。
Approaches to Ethics 伦理学方法
When people talk and write about ethics in the finance and investment industry, they approach the topic in variety of ways and address different realms of ethics. Usually, their dealing with ethics takes one of three main directions: (1) what investment professionals should do, (2) what they actually do, or (3) how finance and investment professionals can be helped to get from what they actually do to what they should do.
当人们谈论和写作金融和投资行业的道德时，他们会以各种方式处理这个话题，并处理不同的道德领域。通常，他们处理道德问题需要三个主要方向之一：（1）投资专业人员应该做什么，（2）他们实际做什么，或（3）如何帮助金融和投资专业人员从他们实际做的事情转变为他们应该做的事情。
Normative Ethics 规范性伦理
What should finance and investment professionals do? As the name implies, normative ethics aims at establishing norms and guidelines for professionals regarding how they should behave. This approach to ethics is inherent in, for example, the ethical theories of moral philosophy, theology, and definitions of professional norms, standards, and acceptable behavior for a professional field. Thus, a normative approach to ethics in finance and investments defines what is ethical in this profession. It tells practitioners how investment professionals should act to be ethical, which behavior should be considered ethical, and which behavior should
