CFA一级内容CFA历年考试模拟题一Word文档下载推荐.docx

CFA一级内容CFA历年考试模拟题一Word文档下载推荐.docx

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StatethefourcomponentsoftheCodeofEthics.

　　MembersofAIMRshall:

　　1.Actwithintegrity,competence,dignity,andinanethicalmannerwhendealingwiththepublic,clients,prospects,employers,employees,andfellowmembers.

　　2.Practiceandencourageotherstopracticeinaprofessionalandethicalmannerthatwillreflectcreditonmembersandtheirprofession.

　　3.Strivetomaintainandimprovetheircompetenceandthecompetenceofothersintheprofession.

　　4.Usereasonablecareandexerciseindependentprofessionaljudgment.

　　tolaunchStandardsofPractice

　　2-I.:

StandardsofProfessionalConduct:

I.FundamentalResponsibilities

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.

Notknowinglyparticipateorassistinanyviolationofsuchlaws,rules,orregulations.

Whenmemberssuspectaclientoracolleagueofplanningorengaginginongoingillegalactivities,membersshouldtakethefollowingactions:

Consultcounseltodetermineiftheconductis,infact,illegal.

Disassociatefromanyillegalorunethicalactivity.Whenmembershavereasonablegroundstobelievethataclient’soremployee’sactivitiesareillegalorunethical,themembersshoulddissociatefromtheseactivitiesandurgetheirfirmtoattempttopersuadetheperpetratortoceasesuchactivity.

　　2-II.:

II.RelationshipswithandResponsibilitiestotheProfession

UseofProfessionalDesignation

　　II（A.1）

　　AIMRmembersmayreferencetheirmembershiponlyinadignifiedandjudiciousmanner.Theuseofthereferencemaybeaccompaniedbyanaccurateexplanationoftherequirementsthathavebeenmettoobtainmembershipintheseorganizations.

　　II（A.2）

　　ThosewhohaveearnedtherighttousetheCharteredFinancialAnalystdesignationmayusethemarks“CharteredFinancialAnalyst”or“CFA”andareencouragedtodoso,butonlyinaproper,dignified,andjudiciousmanner.Theuseofthedesignationmaybeaccompaniedbyanaccurateexplanationoftherequirementsthathavebeenmettoobtaintherighttousethedesignation.

　　II（A.3）

　　CandidatesintheCFAProgram,asdefinedintheAIMRBylaws,mayreferencetheirparticipationintheCFAProgram,butthereferencemustclearlystatethatanindividualisacandidateintheCFAProgramandcannotimplythatthecandidatehasachievedanytypeofpartialdesignation.

ProfessionalMisconduct

　　II（B.1）

　　Membersshallnotengageinanyprofessionalconductinvolvingdishonesty,fraud,deceit,ormisrepresentationorcommitanyactthatreflectsadverselyontheirhonesty,trustworthiness,orprofessionalcompetence.

　　II（B.2）

　　MembersandcandidatesshallnotengageinanyconductorcommitanyactthatcompromisestheintegrityoftheCFAdesignationortheintegrityorvalidityoftheexaminationsleadingtotheawardoftherighttousetheCFAdesignation.

　　1.Makeclearthatdishonestpersonalbehaviorreflectspoorlyontheprofession.

　　2.Adoptacodeofethicstowhicheveryemployeemustsubscribe.

　　3.Conductbackgroundchecksonpotentialemployeestoensurethattheyareofgoodcharacterandeligibletoworkintheinvestmentindustry.

　　C.:

ProhibitionagainstPlagiarism

Membersshallnotcopyoruse,insubstantiallythesameformastheoriginal,materialpreparedbyanotherwithoutacknowledgingandidentifyingthenameoftheauthor,publisher,orsourceofsuchmaterial.Membersmayuse,withoutacknowledgment,factualinformationpublishedbyrecognizedfinancialandstatisticalreportingservicesorsimilarsources.

　　1.Maintaincopiesofmaterialsthatwerereliedoninpreparingtheresearchreport.

　　2.Attributequotations（andprojections,tables,statistics,models,andmethodologies）usedotherthanrecognizedfinancialandstatisticalreportingservices.

　　3.Attributeparaphrasesandsummariesofmaterialpreparedbyothers.

　　2-III.:

III.RelationshipsandResponsibilitiestotheEmployer

InformyourEmployeroftheCodeandStandards

　　III（A.1）

　　Membersshallinformtheiremployerinwriting,throughtheirdirectsupervisor,thattheyareobligatedtocomplywiththeCodeandStandardsandaresubjecttodisciplinarysanctionsforviolationsthereof.

　　III（A.2）

　　MembersshalldeliveracopyoftheCodeandStandardstotheiremployeriftheemployerdoesnothaveacopy.

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

DutytoEmployer

Membersshallnotundertakeanyindependentpracticethatcouldresultincompensationorotherbenefitincompetitionwiththeiremployerunlesstheyobtainwrittenconsentfromboththeiremployerandthepersonsorentitiesforwhomtheyundertakeindependentpractice.

　　1.Memberswhoplantoengageinindependentpracticeforcompensationshouldprovidewrittenstatementstotheiremployerdescribingthetypesofservicestheywillperform,theexpecteddurationoftheservices,andthecompensationtheywillreceive.

　　2.Membersshouldalsodisclosetotheirprospectiveclientstheidentityoftheiremployer,thefactthattheyareperformingindependentlyoftheemployer,andwhattheiremployerwouldchargeforsimilarservices.

　　3.Membersseekingnewemploymentshouldnotcontactexistingclientsorpotentialclientspriortoleavingtheiremployerortakerecords/filestotheirnewemployerwithoutthewrittenpermissionofthepreviousemployer.

DiscloseConflictsbetweenyouandyourEmployer

　　III（C.1）:

　　Membersshalldisclosetotheiremployerallmatters,includingbeneficialownershipofsecuritiesorotherinvestments,thatreasonablycouldbeexpectedtointerferewiththeirdutytotheiremployerorabilitytomakeunbiasedandobjectiverecommendations.

　　III（C.2）:

　　Membersshallcomplywithanyprohibitionsonactivitiesimposedbytheiremployerifaconflictofinterestexists.

Membersshouldreporttotheiremployersanybeneficialinterestandanyspecialrelationships,likecorporatedirectorships,thatmayreasonablybeconsideredaconflictofinterestwiththeirresponsibilities.Membersshouldalsodiscussthesituationwiththeirfirm’scomplianceofficerbeforetakinganyactionthatcouldleadtoaconflictofinterest.

　　D.:

DiscloseAdditionalCompensationfromOutsidetheFirmtoyourEmployer

Membersshalldisclosetotheiremployerinwritingallmonetarycompensationorotherbenefitsthattheyreceivefortheirservicesthatareinadditiontocompensationorbenefitsconferredbyamember’semployer.

Membersshouldmakeanimmediatewrittenreporttotheiremployerspecifyinganycompensationorbenefitstheyreceiveorproposetoreceiveforservicesinadditiontowhattheiremployeristogivethem.Thiswrittenreportshouldstatethetermsofanyoralorwrittenagreement,theamountofcompensation,andthedurationoftheagreement.

　　E.:

ResponsibilitiesofSupervisors

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

Thesupervisorandthecomplianceofficershould:

　　1.Disseminatethecomplianceprocedures.

　　2.Updatetheproceduresasnecessary.

　　3.Educatethestaffandissueperiodicreminders.

　　4.Incorporateaprofessionalconductevaluationintotheemployee’sperformancereview.

　　5.Reviewemployeeactionstoensurecomplianceandidentifyviolators,initiatingproceduresonceaviolationhasoccurred.Asupervisorshouldrespondpromptlytotheviolationbyconductingathoroughinvestigation,andplacinglimitationsonthewrongdoeruntiltheinvestigationiscomplete.

　　2-IV.:

IV.RelationshipswithandResponsibilitiestoClientsandProspects

TheInvestmentProcess

　　IV（A.1）ReasonableBasisandRepresentations.Membersshall:

　　a.Exercisediligenceandthoroughnessinmakinginvestmentrecommendationsorintakinginvestmentactions.

　　b.Haveareasonableandadequatebasis,supportedbyappropriateresearchandi