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1、范文范例指导学习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,andfe
2、llowmembers. 2.Practiceandencourageotherstopracticeinaprofessionalandethicalmannerthatwillreflectcreditonmembersandtheirprofession. 3.Strivetomaintainandimprovetheircompetenceandthecompetenceofothersintheprofession. 4.Usereasonablecareandexerciseindependentprofessionalju
3、dgment. tolaunchStandardsofPractice 2-I.:StandardsofProfessionalConduct:I.FundamentalResponsibilities A.:Knowthelawsandrules. Standard:Maintainknowledgeofandcomplywithallapplicablelaws,rules,andregulations(includingAIMR’sCodeofEthicsandStandardsofProfessionalConduct)ofa
4、nygovernment,governmentagency,regulatoryorganization,licensingagency,orprofessionalassociationgoverningthemembers’professionalactivities. Compliance:Memberscanacquireandmaintainknowledgeaboutapplicablelaws,rules,andregulationsby: ·Maintainingcurrentfilesonapplicablestatut
5、es,rules,andregulations. ·Keepinginformed.word版本整理分享范文范例指导学习 ·Reviewingwrittencomplianceproceduresonaregularbasis. B.:Don'tbreakorhelpothersbreakthelaw. Standard:Notknowinglyparticipateorassistinanyviolationofsuchlaws,rules,orregulations. Compliance:Whenmemberssuspecta
6、clientoracolleagueofplanningorengaginginongoingillegalactivities,membersshouldtakethefollowingactions: ·Consultcounseltodetermineiftheconductis,infact,illegal. ·Disassociatefromanyillegalorunethicalactivity.Whenmembershavereasonablegroundstobelievethataclient’soremployee’
7、sactivitiesareillegalorunethical,themembersshoulddissociatefromtheseactivitiesandurgetheirfirmtoattempttopersuadetheperpetratortoceasesuchactivity. 2-II.:StandardsofProfessionalConduct:II.RelationshipswithandResponsibilitiestotheProfession A.:UseofProfessionalDesignation
8、 II(A.1) AIMRmembersmayreferencetheirmembershiponlyinadignifiedandjudiciousmanner
