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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,employees,andfellowmembers. 2.Pra
2、cticeandencourageotherstopracticeinaprofessionalandethicalmannerthatwillreflectcreditonmembersandtheirprofession. 3.Strivetomaintainandimprovetheircompetenceandthecompetenceofothersintheprofession. 4.Usereasonablecareandexerciseindependentprofessionaljudgment. tolaunchStandardsofPra
3、ctice 2-I.:StandardsofProfessionalConduct:I.FundamentalResponsibilities A.:Knowthelawsandrules. Standard:Maintainknowledgeofandcomplywithallapplicablelaws,rules,andregulations(includingAIMR’sCodeofEthicsandStandardsofProfessionalConduct)ofanygovernment,governmentagency,regulatoryorg
4、anization,licensingagency,orprofessionalassociationgoverningthemembers’professionalactivities. Compliance:Memberscanacquireandmaintainknowledgeaboutapplicablelaws,rules,andregulationsby: ·Maintainingcurrentfilesonapplicablestatutes,rules,andregulations. ·Keepinginformed.Word资料. ·Re
5、viewingwrittencomplianceproceduresonaregularbasis. B.:Don'tbreakorhelpothersbreakthelaw. Standard:Notknowinglyparticipateorassistinanyviolationofsuchlaws,rules,orregulations. Compliance:Whenmemberssuspectaclientoracolleagueofplanningorengaginginongoingillegalactivities,membersshould
6、takethefollowingactions: ·Consultcounseltodetermineiftheconductis,infact,illegal. ·Disassociatefromanyillegalorunethicalactivity.Whenmembershavereasonablegroundstobelievethataclient’soremployee’sactivitiesareillegalorunethical,themembersshoulddissociatefromtheseactivitiesandurgetheir
7、firmtoattempttopersuadetheperpetratortoceasesuchactivity. 2-II.:StandardsofProfessionalConduct:II.RelationshipswithandResponsibilitiestotheProfession A.:UseofProfessionalDesignation II(A.1) AIMRmembersmayreferencetheirmembershiponlyinadignifiedandjudiciousmanner.Theuseoftherefere
