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标题: Reading 1:Code of Ethics and Standards of Professional Condu [打印本页]

作者: mayanfang1 时间: 2008-12-29 15:46 标题: [2009] Session 1-Reading 1:Code of Ethics and Standards of Professional Condu

Q1. Which of the following activities would be following a component of the Code of Ethics explicitly?

A) Attending continuing education seminars on investing and inviting colleagues to come along.

B) Consulting with colleagues about opinions you reach in your research.

C) Maintaining a list of colleagues who have violated the CFA Institute standards.

Q2. According to the Code of Ethics, the professional judgment of a member should be:

A) guided by the SEC guidelines.

B) independent.

C) dependent on that of his/her colleagues.

Q3. According to the Code of Ethics, which of the following statements is FALSE? CFA Institute members are required to:

A) use reasonable care and exercise independent professional judgment.

B) comply with the CFA Institute Performance Presentation Standards.

C) maintain and improve their competence and strive to maintain the competence of others in the profession.

Q4. Which of the following is NOT part of the CFA Institute Code of Ethics?

A) Contractual provisions.

B) Independent judgment.

C) Competence.

Q5. The first component of the Code of Ethics does NOT explicitly say that a CFA Institute member will act in a certain manner with respect to which of the following groups?

A) Colleagues in the investment profession.

B) The SEC.

C) The public.

作者: mayanfang1 时间: 2008-12-29 15:47

答案和详解如下：

Q1. Which of the following activities would be following a component of the Code of Ethics explicitly?

A) Attending continuing education seminars on investing and inviting colleagues to come along.

B) Consulting with colleagues about opinions you reach in your research.

C) Maintaining a list of colleagues who have violated the CFA Institute standards.

Correct answer is
A)

The Code states that a member shall “Maintain and improve their professional competence and strive to maintain and improve the competence of other investment professionals.” None of the other answers qualify.

Q2. According to the Code of Ethics, the professional judgment of a member should be:

A) guided by the SEC guidelines.

B) independent.

C) dependent on that of his/her colleagues.

Correct answer is
B)

The Code of Ethics states that the CFA Institute member shall “Use reasonable care and exercise independent professional judgment.” None of the other answers resemble anything in the Code.

Q3. According to the Code of Ethics, which of the following statements is FALSE? CFA Institute members are required to:

A) use reasonable care and exercise independent professional judgment.

B) comply with the CFA Institute Performance Presentation Standards.

C) maintain and improve their competence and strive to maintain the competence of others in the profession.

Correct answer is B)

The CFA Institute-PPS are voluntary standards for the industry. Firms are not required to comply with these standards when presenting performance. The other statements are each components of the CFA Institute Code of Ethics.

Q4. Which of the following is NOT part of the CFA Institute Code of Ethics?

A) Contractual provisions.

B) Independent judgment.

C) Competence.

Correct answer is A)

Contractual provisions are not part of the Code of Ethics.

Q5. The first component of the Code of Ethics does NOT explicitly say that a CFA Institute member will act in a certain manner with respect to which of the following groups?

A) Colleagues in the investment profession.

B) The SEC.

C) The public.

Correct answer is
B)

The SEC is not mentioned in the Code of Ethics. Component one mentions duties to the public, clients, prospects, employers, employees, colleagues, and other participants in the global capital markets.

[此贴子已经被作者于2008-12-29 16:55:31编辑过]

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Session 1-Reading 1:Code of Ethics and Standards of Professional Conduct- LOS a

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