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1、历年注册金融分析试CFA考题第一套试题一、Ethical and Professional Standards 1.: Code of Ethics A.: State the four components of the Code of Ethics. Members of AIMR shall: 1. Act with integrity, competence, dignity, and in an ethical manner when dealingwith the public, clients,prospects,employers, employees,and fellow m
2、embers. 2.Practice and encourage others to practice in a professional and ethical manner that will reflect credit on members and their profession. 3. Strive to maintain and improve their competence and the competence of others in the profession. 4. Use reasonable care and exercise independent profes
3、sional judgment. to launch Standards of Practice 2-I.: Standards of Professional Conduct: I. Fundamental Responsibilities A.: Know the laws and rules. Standard: Maintainknowledge of andcomply with all applicable laws, rules, and regulations (includingAIMR s Code of Ethics and Standards ofProfessiona
4、l Conduct) of any government, government agency,regulatory organization, licensingagency, or professionalassociation governing the members professional activities. Compliance: Members can acquire and maintain knowledge about applicable laws, rules, and regulations by: Maintainingcurrent files on app
5、licable statutes, rules, and regulations. Keeping informed. Reviewing written compliance procedures on a regular basis. B.: Dont break or help others break the law. Standard: Not knowingly participate or assist in any violation of such laws, rules, or regulations. Compliance: When members suspect a
6、client or a colleague of planning or engaging in ongoing 川egal activities, members should take the following actions: Consult counsel to determine if the conduct is, in fact, illegal. Disassociate from any illegal or unethical activity.When members havereasonable grounds to believe that a client s o
7、r employee s activities are illegal or unethical,the membersshoulddissociate from these activities and urge their firm to attemptt to persuade the perpetrator to cease such activity. 2-II.: Standards of Professional Conduct: II. Relationships with and Responsibilities to the Profession A.: Use of Pr
8、ofessional Designation II(A.1) AIMR members may reference their membership only in a dignified and judicious manner. The use of the reference may be accompanied by an accurate explanation of the requirements that have been met to obtain membership in these organizations. II(A.2) Those who have earne
9、d the right to use the Chartered Financial Analyst designation may use the marks a Chartered Financial Analyst ” or “CFA” and are encouraged to do so, but only in a proper, dignified, and judicious manner. The use of the designation may be accompanied by an accurate explanation of the requirements t
10、hat have been met to obtain the right to use the designation. II(A.3) Candidates in the CFA Program, as defined in the AIMR Bylaws, may reference their participation in the CFA Program, but the reference must clearly state that an individual is a candidate in the CFA Program and cannot imply that th
11、e candidate has achieved any type of partial designation. B.: Professional Misconduct II(B.1) Members shall not engage in any professional conduct involving dishonesty, fraud, deceit, or misrepresentation or commit any act that reflects adversely on their honesty, trustworthiness, or professional co
12、mpetence. II(B.2) Members and candidates shall not engage in any conduct or commit any act that compromises the integrity of the CFA designation or theintegrity or validity of the examinations leading to the award of the right to use the CFA designation. Compliance: 1. Make clear that dishonest pers
13、onal behavior reflects poorly on the profession. 2. Adopt a code of ethics to which every employee must subscribe. 3. Conduct background checks on potential employees to ensure that they are of good character and eligible to work in the investment industry. C.: Prohibition against Plagiarism Standar
14、d: Members shall not copy or use, in substantially the same form as the original, material prepared by another without acknowledging and identifying the name of the author, publisher, or source of such material. Members may use, without acknowledgment, factual information published by recognized fin
15、ancial and statistical reporting services or similar sources. ? ? Compliance: 1. Maintain copies of materials that were relied on in preparing the research report. 2. Attribute quotations (and projections, tables, statistics, models, and methodologies) used other than recognized financial and statis
16、tical reporting services. 3. Attribute paraphrases and summaries of material prepared byothers. 2-III.: Standards of Professional Conduct: III. Relationships and Responsibilities to the Employer A.: Informyour Employer of the Code and Standards III(A.I) Members shall inform their employer in writing, through their direct supervisor, that they are obligated to comply with the Code and Standards and are subject to disciplinary sanctions for
