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1、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,employ
2、ees,andfellowmembers. 2.Practiceandencourageotherstopracticeinaprofessionalandethicalmannerthatwillreflectcreditonmembersandtheirprofession. 3.Strivetomaintainandimprovetheircompetenceandthecompetenceofothersintheprofession. 4.Usereasonablecareandexercis
3、eindependentprofessionaljudgment. tolaunchStandardsofPractice资料 2-I.:StandardsofProfessionalConduct:I.FundamentalResponsibilities A.:Knowthelawsandrules. Standard:Maintainknowledgeofandcomplywithallapplicablelaws,rules,andregulations(includingAIMR’sCode
4、ofEthicsandStandardsofProfessionalConduct)ofanygovernment,governmentagency,regulatoryorganization,licensingagency,orprofessionalassociationgoverningthemembers’professionalactivities. Compliance:Memberscanacquireandmaintainknowledgeaboutapplicablelaws,rules
5、,andregulationsby: ·Maintainingcurrentfilesonapplicablestatutes,rules,andregulations. ·Keepinginformed. ·Reviewingwrittencomplianceproceduresonaregularbasis. B.:Don'tbreakorhelpothersbreakthelaw. Standard:Notknowinglyparticipateorassistinanyviolationof
6、suchlaws,rules,orregulations.资料 Compliance:Whenmemberssuspectaclientoracolleagueofplanningorengaginginongoingillegalactivities,membersshouldtakethefollowingactions: ·Consultcounseltodetermineiftheconductis,infact,illegal. ·Disassociatefromanyillegalorune
7、thicalactivity.Whenmembershavereasonablegroundstobelievethataclient’soremployee’sactivitiesareillegalorunethical,themembersshoulddissociatefromtheseactivitiesandurgetheirfirmtoattempttopersuadetheperpetratortoceasesuchactivity. 2-II.:StandardsofProfessiona
8、lConduct:II.RelationshipswithandResponsibilitiestotheProfession A.:UseofProfessionalDesignation II(A.1) AIMRmembersmayreferencetheirmembershiponlyinadignifiedandjudiciousmanner.Theuseofthereferencem
