cfa一级ethical and professional standards

cfa一级ethical and professional standards

ID:6822681

大小:1.10 MB

页数:95页

时间:2018-01-27

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1、一、EthicalandProfessionalStandards1.:CodeofEthicsQuestionID:27272AllofthefollowingarecomponentsoftheCodeofEthicsEXCEPT:A.demonstratingdiligence,perseverance,andthoroughnesswhenpreparinginvestmentreports.B.usingreasonablecareandexercisingindependentprofessional

2、judgment.C.actingwithintegrity,competence,dignity,andinanethicalmannerwhendealingwithothers.D.strivingtomaintainandimprovetheircompetenceandthecompetenceofothersintheprofession.AThefinalcomponentintheCodeofEthicsispracticingandencouragingotherstopracticeinapr

3、ofessionalandethicalmannerthatwillreflectcreditonmembersandtheirprofession.QuestionID:27271WhichofthefollowingisNOTacomponentoftheCodeofEthics?Indealingwiththepublic,clients,prospects,employers,employees,andfellowmembers,AIMRmembersshallactwith:A.dignity.B.co

4、mpetence.C.integrity.D.humility.DAlthoughactingwithhumilitymaybedesirable,AIMRmembersarenotrequiredtodoso.However,theyshouldactinamannerthatreflectscreditonthemselvesandtheirprofession.QuestionID:10579WhichofthefollowingisNOTpartoftheAIMR'sCodeofEthics?95A.In

5、tegrityanddignityB.CompetenceC.ContractualprovisionsD.IndependentjudgmentCQuestionID:10582Indealingwiththepublicandothers,theAIMRCodeofEthicsindicatesthatAIMRmemberswillactwith:A.integrity,competence,anddignity.B.honesty,professionalism,andgoodwill.C.confiden

6、ce,knowledge,andhighethicalstandards.D.conviction,skill,andethicalawareness.AQuestionID:10584WhichofthefollowingisacomponentoftheCodeofEthics?A.Membersshallnotengageinanyprofessionalconductinvolvingdishonesty,fraud,deceit,ormisrepresentationorcommitanyactthat

7、reflectsadverselyontheirhonesty,trustworthiness,orprofessionalcompetence.B.CandidatesintheCFAProgram,asdefinedintheAIMRBylaws,mayreferencetheirparticipationintheCFAProgram,butthereferencemustclearlystatethatanindividualisacandidateintheCFAProgramandcannotimpl

8、ythatthecandidatehasachievedanytypeofpartialdesignation.C.Membersshallusereasonablecareandexerciseindependentprofessionaljudgment.D.Membersshallnotknowinglyparticipateorassistinanyviolati

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