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CFA一级内容：CFA历年考试模拟题（一）

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 dealing with the public, clients, prospects, employers, employees, and fellow members.

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 professional judgment.

to launch Standards of Practice

2-I.: Standards of Professional Conduct: I. Fundamental Responsibilities

A.: Know the laws and rules.

Standard: Maintain knowledge of and comply with all applicable laws, rules, and regulations (including AIMR’s Code of Ethics and Standards of Professional Conduct) of any government, government agency, regulatory organization, licensing agency, or professional association governing the members’ professional activities.

Compliance: Members can acquire and maintain knowledge about applicable laws, rules, and regulations by:

· Maintaining current files on applicable statutes, rules, and regulations.

· Keeping informed.

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· Reviewing written compliance procedures on a regular basis.

B.: Don't 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 client or a colleague of planning or engaging in ongoing illegal 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 have reasonable grounds to believe that a client’s or employee’s activities are illegal or unethical, the members should dissociate from these activities and urge their firm to attempt 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 Professional 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 earned the right to use the Chartered Financial Analyst designation may use the marks “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 that 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 the candidate has achieved any type of partial designation.

B.: Professional Misconduct

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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 competence.

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 the integrity or validity of the examinations leading to the award of the right to use the CFA designation.

Compliance:

1. Make clear that dishonest personal 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

Standard: 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 financial 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 statistical reporting services.

3. Attribute paraphrases and summaries of material prepared by others.

2-III.: Standards of Professional Conduct: III. Relationships and Responsibilities to the Employer

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A.: Inform your Employer of the Code and Standards

III(A.1)

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 violations thereof.

III(A.2)

Members shall deliver a copy of the Code and Standards to their employer if the employer does not have a copy.

Compliance: Members should notify their supervisor in writing of the Code and Standards and the member’s responsibility to follow them. The member should also suggest that the employers adopt the Code and Standards and disseminate it throughout the firm. If the employer has publicly acknowledged, in writing, that they have adopted AIMR’s Code and Standards as part of the firm’s policies then the member need not give the formal written notification as required by III(A).

B.: Duty to Employer

Standard: Members shall not undertake any independent practice that could result in compensation or other benefit in competition with their employer unless they obtain written consent from both their employer and the persons or entities for whom they undertake independent practice.

Compliance:

1. Members who plan to engage in independent practice for compensation should provide written statements to their employer describing the types of services they will perform, the expected duration of the services, and the compensation they will receive.

2. Members should also disclose to their prospective clients the identity of their employer, the fact that they are performing independently of the employer, and what their employer would charge for similar services.

3. Members seeking new employment should not contact existing clients or potential clients prior to leaving their employer or take records/files to their new employer without the written permission of the previous employer.

C.: Disclose Conflicts between you and your Employer

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