Gao Dun Online School answers for you:

First, the quality requirements of investment analysts

1. Basic requirements for investment analysts

The ethical program and standards of professional behavior put forward three basic requirements for investment analysts:

(1) Honesty, integrity and fairness.

(2) Take a cautious and serious attitude and conduct various behaviors based on ethical standards, including treating the public, their own customers, potential customers, employers and other investment analysts.

(3) Strive to maintain and improve their professional level and competitiveness, and master and apply all laws, regulations and government rules and regulations suitable for this profession, including moral program, professional behavior standards and national or regional norms.

2. Three ethical principles of investment analysts

(1) The principle of treating existing customers and potential customers fairly means that investment analysts have the responsibility to treat existing customers and potential customers fairly continuously in three situations: investment recommendation, investment suggestion change and investment behavior.

(2) The principle of independence and objectivity means that investment analysts should make independent judgments, be cautious and reasonable, and remain independent and objective when making investment suggestions or taking investment actions.

(3) The principle of fiduciary responsibility means that investment analysts should reasonably and cautiously decide their fiduciary responsibilities when dealing with customers, and bear these responsibilities to customers in practical work.

3. Operational norms for investment analysts' practice behavior

(1) investment suitability and suggestions. Before making investment suggestions, investment analysts should make a reasonable investigation on the customer's situation, investment experience and investment objectives, and update the information in time. When making investment suggestions or investment operations for customers, we should consider the correctness and suitability of such investment suggestions for customers according to the needs and conditions of customers, the basic characteristics of investment varieties and the basic characteristics of investment portfolios. (2) Analyze the rationality of expression. First, the investment recommendation or operation made by investment analysts should be based on reasonable research and investigation; Second, the corresponding records should be kept after investment recommendation or operation; Third, try to avoid incorrect material expression when issuing investment advice; Fourth, when releasing investment information, we should reasonably judge and select relevant factors; Fifth, when making investment advice, we should distinguish between facts and opinions. (3) The comprehensiveness of information disclosure. An investment analyst should disclose the basic format and principle of the investment process, such as how to choose securities and how to build a portfolio, and then disclose the changing factors that may affect these processes. When making investment recommendation, he should remind customers of the basic characteristics and incidental risks of the investment target.

(4) Confidentiality of customer secrets, funds and positions. In the circle of investment analysts and market relations, we should pay attention to keeping customers' information confidential, and at the same time protect the funds and positions represented by investors.

4. Professional discipline of investment analysts

(1) Incorrect expression is prohibited. Investment analysts shall not make incorrect statements on service items, personal assets, practice certificates and investment performance. It is forbidden to make any guarantee or guarantee for the return on investment. If an investment analyst intends to sell business to customers or potential customers by expounding his or her achievements in investment, he must make every effort to ensure the correctness and fairness of these achievements.

(2) Disclosure of conflicts of interest. Investment analysts should disclose their securities, futures contracts or other investment products to customers or potential customers, and whether there is any conflict of interest with the products recommended by customers, so as to avoid making unfair and subjective recommendations.

(3) the priority of the transaction. Securities, futures contracts or investment products represented by investment analysts for clients or employers should be traded prior to the same securities, futures contracts or investment products held by them, so as to avoid personal transactions from adversely affecting the interests of clients or employers.

(4) trading without authorization. An investment analyst shall not trade a customer's account without the customer's knowledge or consent.

(5) Prohibit the use of non-public information. Investment analysts should not spread news or incorrect information that has not been finally released, nor can they trade according to this information. Even if investment analysts obtain correct non-public information through special channels or confidential channels, they should not disseminate such information or take actions accordingly.

(6) Plagiarism is prohibited. Investment analysis should not copy or apply the same format and content as the original text without telling the author himself or indicating the source of the article. Investment analysts can quote financial or statistical data and other factual information in their articles without informing the author himself.

5. Investment analyst responsibility

Investment analysts are responsible for supervising, auditing and influencing others' behaviors, and are prohibited from violating laws, regulations, rules and regulations or professional ethics. In addition, investment analysts have the responsibility to inform employers of relevant and domestic professional ethics standards to avoid unnecessary sanctions and conflicts.

Second, the development prospects of investment analysts

Learning CIIA is because it not only has a good knowledge system, but also is one of the two pillars of China Securities Association, and its development prospect is limitless.

CIIA investment analysts have a high threshold in Wall Street and other places, and their value is even higher than that of star fund managers. Therefore, CIIA investment analysts have good prospects. I hope you can seize the opportunity to become the next CIIA investment analyst.

Is there a good prospect for CIIA investment analysts? This is a problem that many people will care about. Experts from Gao Dun Online School pointed out that not many people passed the CIIA exam, and CIIA has a good prospect, which will enhance the status of the securities analyst industry in China and promote the level of the whole securities analysis industry.

As the leading online education brand of financial certificate in the world, Gao Dun Online School integrates the core resources of financial education, and has platform resources such as open class, online live broadcast, website alliance, financial question bank, Gao Dun tribe and APP client. , to provide quality services and comprehensive solutions for the global financial community.

Gao Dun Online School will always adhere to the corporate mission of "achieving young dreams and creating new business civilization", speed up the globalization process and build a world-class financial online learning platform!

Gao Dun wishes you a happy life! If you have any questions, please feel free to ask Gao Dun Enterprise Knowledge Platform!