《基金法律法規(guī)》考試大綱（2017年度修訂）（英文版）

中國證券投資基金業(yè)協(xié)會(以下簡稱“協(xié)會”)進一步豐富考試組織形式，為行業(yè)提供多樣化的考試服務，推出英文語種的基金從業(yè)資格預約式考試。次次分享的是《基金法律法規(guī)》考試大綱(2017年度修訂)(英文版)。

Syllabus of the Licensing Examination for Fund Practitioners

Fund-related Laws and Regulations, Professional Ethics and Code of Conduct

(Amended in 2017)

1. Overall Objective

Fund practitioners shall comply with Law of the People's Republic of China on Securities Investment Funds, other laws and regulations promulgated by the securities regulatory authorities under the State Council, and self-disciplinary rules and professional ethics established by self-disciplinary organizations of the industry. Fund practitioners shall also master the code of professional conduct. In order to enhance compliance awareness of fund practitioners, and improve their professional ethics and standards, the subject of Fund-related Laws and Regulations, Professional Ethics and Code of Conduct is hereby set up.

2. Proficiency Level

Proficiency level is comprised of three levels: master, comprehend, and know-about. Each defines the minimum requirement for the candidates’ competency in applying professional knowledge.

(1) Master: An examinee shall fully understand and apply the knowledge related to the learning object in the exam and fund practice.

(2) Comprehend: An examinee shall fully understand the concept, idea, principle, meaning and scope of the knowledge related to the learning object.

(3) Know-about: An examinee shall have a basic knowledge of what is related to the learning object.

3. Examination Contents and Proficiency Requirements

An examinee shall, based on the examination contents of this subject and requirements for proficiency level, understand or use the following applicable laws, regulations, professional ethics and code of conduct in daily work, stick to the professional values, comply with the professional ethics and maintain the professional attitude.

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