资源描述：
《CFA一级内容CFA历年考试模拟题一》由会员上传分享，免费在线阅读，更多相关内容在教育资源-天天文库。
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,a
2、ndfellowmembers. 2.Practiceandencourageotherstopracticeinaprofessionalandethicalmannerthatwillreflectcreditonmembersandtheirprofession. 3.Strivetomaintainandimprovetheircompetenceandthecompetenceofothersintheprofession. 4.Usereasonablecareandexerciseindependentprofessionaljudgmen
3、t. tolaunchStandardsofPractice 2-I.:StandardsofProfessionalConduct:I.FundamentalResponsibilities A.:Knowthelawsandrules. Standard:Maintainknowledgeofandcomplywithallapplicablelaws,rules,andregulations(includingAIMR’sCodeofEthicsandStandardsofProfessionalConduct)ofanygovernment,g
4、overnmentagency,regulatoryorganization,licensingagency,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
5、：gaoduncfa全球最大的CFA(特许金融分析师)培训中心 ·Maintainingcurrentfilesonapplicablestatutes,rules,andregulations. ·Keepinginformed. ·Reviewingwrittencomplianceproceduresonaregularbasis. B.:Don'tbreakorhelpothersbreakthelaw. Standard:Notknowinglyparticipateorassistinanyviolationofsuchlaws,rule
6、s,orregulations. Compliance:Whenmemberssuspectaclientoracolleagueofplanningorengaginginongoingillegalactivities,membersshouldtakethefollowingactions: ·Consultcounseltodetermineiftheconductis,infact,illegal. ·Disassociatefromanyillegalorunethicalactivity.Whenmembershavereasonableg
7、roundstobelievethataclient’soremployee’sactivitiesareillegalorunethical,themembersshoulddissociatefromtheseactivitiesandurgetheirfirmtoattempttopersuadetheperpetratortoceasesuchactivity. 2-II.:StandardsofProfessionalConduct:II.RelationshipswithandResponsibilitiestotheProfession A.
8、:UseofProfessionalD
