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1、全球最大的CFA(特许金融分析师)培训中心CFA一级内容：CFA历年考试模拟题（一） 一、EthicalandProfessionalStandards 1.:CodeofEthics A.:StatethefourcomponentsoftheCodeofEthics. MembersofAIMRshall: 1.Actwithintegrity,competence,dignity,andinanethicalmannerwhendealingwiththepublic,clients,prospects,employers,employees,andfellowmembers.
2、 2.Practiceandencourageotherstopracticeinaprofessionalandethicalmannerthatwillreflectcreditonmembersandtheirprofession. 3.Strivetomaintainandimprovetheircompetenceandthecompetenceofothersintheprofession. 4.Usereasonablecareandexerciseindependentprofessionaljudgment. tolaunchStandardsofPractice
3、 2-I.:StandardsofProfessionalConduct:I.FundamentalResponsibilities A.:Knowthelawsandrules. Standard:Maintainknowledgeofandcomplywithallapplicablelaws,rules,andregulations(includingAIMR’sCodeofEthicsandStandardsofProfessionalConduct)ofanygovernment,governmentagency,regulatoryorganization,licensing
4、agency,orprofessionalassociationgoverningthemembers’professionalactivities. Compliance:Memberscanacquireandmaintainknowledgeaboutapplicablelaws,rules,andregulationsby:16总部地址：上海市虹口区花园路171号A3幢高顿教育电话：400-600-8011网址：finance.gaodun.cn微信公众号：gaoduncfa全球最大的CFA(特许金融分析师)培训中心 ·Maintainingcurrentfilesonappli
5、cablestatutes,rules,andregulations. ·Keepinginformed. ·Reviewingwrittencomplianceproceduresonaregularbasis. B.:Don'tbreakorhelpothersbreakthelaw. Standard:Notknowinglyparticipateorassistinanyviolationofsuchlaws,rules,orregulations. Compliance:Whenmemberssuspectaclientoracolleagueofplanningoren
6、gaginginongoingillegalactivities,membersshouldtakethefollowingactions: ·Consultcounseltodetermineiftheconductis,infact,illegal. ·Disassociatefromanyillegalorunethicalactivity.Whenmembershavereasonablegroundstobelievethataclient’soremployee’sactivitiesareillegalorunethical,themembersshoulddissocia
7、tefromtheseactivitiesandurgetheirfirmtoattempttopersuadetheperpetratortoceasesuchactivity. 2-II.:StandardsofProfessionalConduct:II.RelationshipswithandResponsibilitiestotheProfession A.:UseofProfessionalD
