历年注册金融分析试CFA考题第一套试题.docx

历年注册金融分析试CFA考题第一套试题.docx

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历年注册金融分析试CFA考题第一套试题

历年注册金融分析试CFA考题第一套试题

一、EthicalandProfessionalStandards1.:

CodeofEthicsA.:

StatethefourcomponentsoftheCodeofEthics.MembersofAIMRshall:

1.Actwithintegrity,competence,dignity,andinanethicalmannerwhendealingwiththepublic,clients,prospects,employers,employees,andfellowmembers.2.Practiceandencourageotherstopracticeinaprofessionalandethicalmannerthatwillreflectcreditonmembersandtheirprofession.3.Strivetomaintainandimprovetheircompetenceandthecompetenceofothersintheprofession.4.Usereasonablecareandexerciseindependentprofessionaljudgment.tolaunchStandardsofPractice2-I.:

StandardsofProfessionalConduct:

I.FundamentalResponsibilitiesA.:

Knowthelawsandrules.Standard:

Maintainknowledgeofandcomplywithallapplicablelaws,rules,andregulations（includingAIMR’sCodeofEthicsandStandardsofProfessionalConduct）ofanygovernment,governmentagency,regulatoryorganization,licensingagency,orprofessionalassociationgoverningthemembers’professionalactivities.Compliance:

Memberscanacquireandmaintainknowledgeaboutapplicablelaws,rules,andregulationsby:

·Maintainingcurrentfilesonapplicablestatutes,rules,andregulations.·Keepinginformed.·Reviewingwrittencomplianceproceduresonaregularbasis.B.:

Don'tbreakorhelpothersbreakthelaw.Standard:

Notknowinglyparticipateorassistinanyviolationofsuchlaws,rules,orregulations.Compliance:

Whenmemberssuspectaclientoracolleagueofplanningorengaginginongoingillegalactivities,membersshouldtakethefollowingactions:

·Consultcounseltodetermineiftheconductis,infact,illegal.·Disassociatefromanyillegalorunethicalactivity.Whenmembershavereasonablegroundstobelievethataclient’soremployee’sactivitiesareillegalorunethical,themembersshoulddissociatefromtheseactivitiesandurgetheirfirmtoattempt

ttopersuadetheperpetratortoceasesuchactivity.2-II.:

StandardsofProfessionalConduct:

II.RelationshipswithandResponsibilitiestotheProfessionA.:

UseofProfessionalDesignationII（A.1）AIMRmembersmayreferencetheirmembershiponlyinadignifiedandjudiciousmanner.Theuseofthereferencemaybeaccompaniedbyanaccurateexplanationoftherequirementsthathavebeenmettoobtainmembershipintheseorganizations.II（A.2）ThosewhohaveearnedtherighttousetheCharteredFinancialAnalystdesignationmayusethemarks“CharteredFinancialAnalyst”or“CFA”andareencouragedtodoso,butonlyinaproper,dignified,andjudiciousmanner.Theuseofthedesignationmaybeaccompaniedbyanaccurateexplanationoftherequirementsthathavebeenmettoobtaintherighttousethedesignation.II（A.3）CandidatesintheCFAProgram,asdefinedintheAIMRBylaws,mayreferencetheirparticipationintheCFAProgram,butthereferencemustclearlystatethatanindividualisacandidateintheCFAProgramandcannotimplythatthecandidatehasachievedanytypeofpartialdesignation.B.:

ProfessionalMisconductII（B.1）Membersshallnotengageinanyprofessionalconductinvolvingdishonesty,fraud,deceit,ormisrepresentationorcommitanyactthatreflectsadverselyontheirhonesty,trustworthiness,orprofessionalcompetence.II（B.2）MembersandcandidatesshallnotengageinanyconductorcommitanyactthatcompromisestheintegrityoftheCFAdesignationortheintegrityorvalidityoftheexaminationsleadingtotheawardoftherighttousetheCFAdesignation.Compliance:

1.Makeclearthatdishonestpersonalbehaviorreflectspoorlyontheprofession.2.Adoptacodeofethicstowhicheveryemployeemustsubscribe.3.Conductbackgroundchecksonpotentialemployeestoensurethattheyareofgoodcharacterandeligibletoworkintheinvestmentindustry.C.:

ProhibitionagainstPlagiarismStandard:

Membersshallno

tcopyoruse,insubstantiallythesameformastheoriginal,materialpreparedbyanotherwithoutacknowledgingandidentifyingthenameoftheauthor,publisher,orsourceofsuchmaterial.Membersmayuse,withoutacknowledgment,factualinformationpublishedbyrecognizedfinancialandstatisticalreportingservicesorsimilarsources.?

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Compliance:

1.Maintaincopiesofmaterialsthatwerereliedoninpreparingtheresearchreport.2.Attributequotations（andprojections,tables,statistics,models,andmethodologies）usedotherthanrecognizedfinancialandstatisticalreportingservices.3.Attributeparaphrasesandsummariesofmaterialpreparedbyothers.2-III.:

StandardsofProfessionalConduct:

III.RelationshipsandResponsibilitiestotheEmployerA.:

InformyourEmployeroftheCodeandStandardsIII（A.1）Membersshallinformtheiremployerinwriting,throughtheirdirectsupervisor,thattheyareobligatedtocomplywiththeCodeandStandardsandaresubjecttodisciplinarysanctionsforviolationsthereof.III（A.2）MembersshalldeliveracopyoftheCodeandStandardstotheiremployeriftheemployerdoesnothaveacopy.Compliance:

MembersshouldnotifytheirsupervisorinwritingoftheCodeandStandardsandthemember’sresponsibilitytofollowthem.ThemembershouldalsosuggestthattheemployersadopttheCodeandStandardsanddisseminateitthroughoutthefirm.Iftheemployerhaspubliclyacknowledged,inwriting,thattheyhaveadoptedAIMR’sCodeandStandardsaspartofthefirm’spoliciesthenthememberneednotgivetheformalwrittennotificationasrequiredbyIII（A）.B.:

DutytoEmployerStandard:

Membersshallnotundertakeanyindependentpracticethatcouldresultincompensationorotherbenefitincompetitionwiththeiremployerunlesstheyobtainwrittenconsentfromboththeiremployerandthepersonsorentitiesforwhomtheyundertakeindependentpractice.?

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Compliance:

1.Memberswhoplantoen

gageinindependentpracticeforcompensationshouldprovidewrittenstatementstotheiremployerdescribingthetypesofservicestheywillperform,theexpecteddurationoftheservices,andthecompensationtheywillreceive.2.Membersshouldalsodisclosetotheirprospectiveclientstheidentityoftheiremployer,thefactthattheyareperformingindependentlyoftheemployer,andwhattheiremployerwouldchargeforsimilarservices.3.Membersseekingnewemploymentshouldnotcontactexistingclientsorpotentialclientspriortoleavingtheiremployerortakerecords/filestotheirnewemployerwithoutthewrittenpermissionofthepreviousemployer.C.:

DiscloseConflictsbetweenyouandyourEmployerIII（C.1）:

Membersshalldisclosetotheiremployerallmatters,includingbeneficialownershipofsecuritiesorotherinvestments,thatreasonablycouldbeexpectedtointerferewiththeirdutytotheiremployerorabilitytomakeunbiasedandobjectiverecommendations.III（C.2）:

Membersshallcomplywithanyprohibitionsonactivitiesimposedbytheiremployerifaconflictofinterestexists.Compliance:

Membersshouldreporttotheiremployersanybeneficialinterestandanyspecialrelationships,likecorporatedirectorships,thatmayreasonablybeconsideredaconflictofinterestwiththeirresponsibilities.Membersshouldalsodiscussthesituationwiththeirfirm’scomplianceofficerbeforetakinganyactionthatcouldleadtoaconflictofinterest.D.:

DiscloseAdditionalCompensationfromOutsidetheFirmtoyourEmployerStandard:

Membersshalldisclosetotheiremployerinwritingallmonetarycompensationorotherbenefitsthattheyreceivefortheirservicesthatareinadditiontocompensationorbenefitsconferredbyamember’semployer.Compliance:

Membersshouldmakeanimmediatewrittenreporttotheiremployerspecifyinganycompensationorbenefitstheyreceiveorproposetoreceiveforservicesinadditiontowhattheiremployer

istogivethem.Thiswrittenreportshouldstatethetermsofanyoralorwrittenagreement,theamountofcompensation,andthedurationoftheagreement.E.:

ResponsibilitiesofSupervisorsStandard:

Memberswithsupervisoryresponsibilities,authority,ortheabilitytoinfluencetheconductofothersshallexercisereasonablesupervisionoverthosesubjecttotheirsupervisionorauthoritytopreventanyviolationofapplicablestatutes,regulation,orprovisionsoftheCodeandStandards.Insodoing,membersareentitledtorelyonreasonableproceduresdesignedtodetectandpreventsuchviolations.?

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Compliance:

Thesupervisorandthecomplianceofficershould:

1.Disseminatethecomplianceprocedures.2.Updatetheproceduresasnecessary.3.Educatethestaffandissueperiodicreminders.4.Incorporateaprofessionalconductevaluationintotheemployee’sperformancereview.5.Reviewemployeeactionstoensurecomplianceandidentifyviolators,initiatingproceduresonceaviolationhasoccurred.Asupervisorshouldrespondpromptlytotheviolationbyconductingathoroughinvestigation,andplacinglimitationsonthewrongdoeruntiltheinvestigationiscomplete.2-IV.:

StandardsofProfessionalConduct:

IV.RelationshipswithandResponsibilitiestoClientsandProspectsA.:

TheInvestmentProcessIV（A.1）ReasonableBasisandRepresentations.Membersshall:

a.Exercisediligenceandthoroughnessinmakinginvestmentrecommendationsorintakinginvestmentactions.b.Haveareasonableandadequatebasis,supportedbyappropriateresearchandinvestigation,forsuchrecommendationsoractions.c.Makereasonableanddiligenteffortstoavoidanymaterialmisrepresentationinanyresearchreportorinvestmentrecommendation.d.Maintainappropriaterecordstosupportthereasonablenessofsuchrecommendationsoractions.Compliance:

1.Analyzetheinvestment’sbasiccharacteristics（recordsmustshowthecharacteristics

oftheinvestmentandthebasisfortherecommendation）.2.Anal