如何申请CFA资格证书,CFA成绩和证书是否终身有效?

摘要: 在一个偶然的机会下,我了解到CFA。通过一段时间的加深认识以及对金融知识的浓厚兴趣,大学毕业后,在实习的同时,我开始了对CFA一级知识的自学。

09-30 20:44 首页 CFAer


与注册会计师不同,CPA专业阶段考试的单科考试合格成绩5年内有效,而CFA在2008年也曾要求过需7年内通过3个级别考试,幸运的是该规定已被取消。CFA成绩和证书是终身有效的。


CFA资格认证持有人(CFA Charter holder)是独有的全球公认的投资管理从业人员高职业水平和道德水准的有力证明,是金融界卓越专业成就的象征;CFA资格强调和遵循极其严格的职业操守和道德准则,世界各主要发达国家相关行业都将CFA作为金融行业操守高水平人员的衡量标准,包括中国在内的投资界专业人士,越来越认识到该资格在职业诚信认证的价值。


那么如何成为CFA资格认证持有人呢?具体申请步骤如下:


一、拥有四年(48个月)与投资相关工作经验


1.工作经验需要涉及到:


评估或应用金融财务,经济,或统计数据为投资运作提供决策;涉及证券或类似的投资工作(例如公开上市和私募股票、债券、抵押贷款及其衍生品;基于有价商品的衍生品和共同基金;商品和其他投资资产,如房地产和大宗商品,多元化的投资组合,有价证券的投资组合等)。


从事于或参与到投资产品设计,为其提供专业的有价值的信息,直接参与投资决策过程或者为投资决策过程提供支持等相关工作监督、管理或指导;亦或直接或间接执行操作投资活动;


从事投资活动的咨询、教学指导工作。职位本身的名称不能直接决定是否被CFA协会认可,主要是日常工作中涉及到的职务内容必须50%以上和投资决策相关的才是被认可。如果所从事的工作在以下举例的职位以外,但工作中涉及的职务内容和投资决策相关,亦可提供详细的工作经验给CFA协会,也是被认可的。


2.如何描述工作经验:


提交协会认可的工作岗位名称;


除工作职位外,还需要提交所负责的具体工作细节;


在提交的每个协会认可的工作职位需要写明申请人的职责范围;


申请者需要保留申请材料的备份,以便在申请材料提交至协会前可及时更新!


3.在提交工作经验申请材料前可参考:


自我工作经验是否能得到协会认可,即工作经验自我评估


工作经验描述样本


工作职位列表样本


申请需注意的清单


二、加入CFA协会,成为协会正式会员


正式会员(Regular Membership)不同于附属会员(affiliate membership),正式会员是被推荐的CFA考生并以申请成为CFA Charter holder为目的。


成为CFA协会的正式会员必须满足:


1.在正规高等院校取得至少本科学历,或者在社会上接受相当本科教育经历或工作经历;


2.通过CFA一级考试,或通过协会的CFA自我测试标准;


3.拥有四年(48个月)与投资相关工作经验(可参考第一条);


4.申请加入CFA分会,CFA分会会员身份虽是自愿申请但协会强烈建议申请加入;


5.同意遵守并签署协会会员协议与《职业操守声明》(即PCS);


6.交纳会员费:


会员标准年费为:275美元;


已是退休状态的会员年费为:100美元;


分会的会员费是多样的,可参考具体所属分会会费交纳标准,查看各地分会信息请点击:local CFA society


CFA协会与分会的会员费一旦交纳,不可退费,不可转让会费。


三、宣誓遵守《职业道德规范及职业行为标准》


四、申请加入当地分会


五、完成CFA三个级别的考试


上述五个步骤完成后即满足CFA资格认证持有人的申请要求,其中第二条与第三条可登录CFA协会官网个人账户内,在考生个人账户中Membership栏目下有专门提交申请的通道,考生登录后即可提出申请。


申请成为CFA持证人需要需要4年被认可的专业工作经验,不论是参加CFA考试前、考试中、考试后积累的直接参与投资决策过程或者为投资决策过程提供支持等相关工作,但有些考生还是不太清楚某些职业的工作经验是是否满足,下面就总结了这么一份被CFA协会认可的工作职位及具体的描述。


Client Service Representative or Relationship Manager


CFAI(CFA Institute,the same below) Description: "Responsible for all activities related to investment firm client service, including: communicating investment performance and strategy to clients and serving as a lesson between client and portfolio manager."

Compliance Analyst or Compliance Officer


CFAI Description: "Responsible for ensuring investment firm’s adherence to applicable laws, regulations and professional standards of practice."

Investment Consultant


CFAI Description: "Provides investment consulting services, including developing investment policy statements; formulating and delivering investment reviews, conducting asset allocation studies, managing client relationships; monitoring investment performance."

Corporate Chief Financial Officer


CFAI Description: "Responsible for determining structure and funding needs through equity, debt, and alternative investments; evaluating financial fundamentals, and making capital investment decisions."

Corporate Finance Analyst


CFAI Description: "Analyze financial fundamentals and capital needs for ongoing corporate operations and/or new projects; conduct long range financial planning; analyze and value possible mergers and acquisitions, asset sales and capital investment decisions. Determine and recommend funding strategies through various
security or financing options."

Investment Banking Analyst


CFAI Description: "Analyze and value securities for public offering; target and value mergers and acquisitions for corporate clients."

Derivatives Analyst


CFAI Description: "Formulate strategies and valuations for derivative securities."

Economist


CFAI Description: "Develop economic outlooks to be used in the formulation of investment strategies and portfolio structuring."

Institutional Sales Professional or Business Development


CFAI Description: "Cultivate new business opportunities by marketing investment products to institutional investors. Execute trades and convey research of securities and strategies to institutional investors."

Investment Strategist


CFAI Description: "Apply investment knowledge to develop and analyze investment strategies designed to achieve investor goals as part of the overall investment process."

Portfolio Manager


CFAI Description: "Manage clients’ investment portfolios. Responsible for investment decision-making, including security selection, industry/sector selection and portfolio construction."

Private Client Investment Advisor


CFAI Description: "Manage portfolios of high net-worth clients. Identify investor objectives and develop investment policies. Manage client relationships."

Professor/Instructor


CFAI Description: "Academic, full-time professor or instructor at a college or university teaching investments, finance and/or economics. Other “business” course instruction does not qualify for the award of the CFA Charter."

Quantitative Investment or Risk Analyst


CFAI Description: "Conduct quantitative research and/or performance attribution analysis to assist portfolio managers and traders with investment decisions and risk management. Supply portfolio managers with analytical tools needed for portfolio management."

Real Estate Investment Manager


CFAI Description: "In the context of diversified securities portfolios, specialize in the management of real estate investments, including, developing investment policies and monitoring performance."

Regulator/Supervisor of Investment Firm


CFAI Description: "Oversee legal/regulatory compliance matters, perform due diligence and ensure firm compliance with all applicable federal securities laws, state statutes, regulatory agencies, and investment laws. Review and maintain investment contracts, registration statements, regulatory filings and documents."

Security/Investment Analyst


CFAI Description: "Analyze, value, and recommend securities in one or more asset classes (equity, fixed income, alternative investments, or derivatives)."

Securities Trader


CFAI Description: "Execute buy and sell transactions in investment securities. Develop and disseminate information about markets and the trading environment to securities dealers and portfolio managers."

Valuator of Closely Held Business


CFAI Description: "Value business/company/corporation where stock is thinly traded (or privately held) and for which the market offers limited buyers/sellers. Analyze financial statements, accounting methods, capital budget projects, acquisitions and asset sales."

Venture Capital Analyst


CFAI Description: "Conduct market research and analysis to solicit/raise capital for equity or debt funding, mergers, capital leasing, acquisitions or divestitures."

END

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