Q21.According to the Code of Ethics, when practicing in a professional and ethical manner the goal is to:

A)   increase membership in CFA Institute.

B)   resolve conflicts between clients and employers.

C)   reflect credit on members and the profession.

Q22.According to the CFA Institute Code of Ethics, CFA Institute Members and Candidates must do all of the following EXCEPT:

A)   not knowingly violate the securities acts and laws.

B)   exercise independent judgment.

C)   act with integrity and dignity.

Q23.Which of the following is NOT part of the CFA Institute Code of Ethics. Members of CFA Institute will:

A)   use reasonable care and exercise independent professional judgment.

B)   recommend investments that maximize returns for a given level of risk.

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

Q24.Which of the following is a component of the Code of Ethics?

A)   Members shall not knowingly participate or assist in any violation of such laws, rules, or regulations.

B)   Members shall not engage in any professional conduct involving dishonesty, fraud, deceit, or misrepresentation or commit any act that reflects adversely on their honesty, trustworthiness, or professional competence.

C)   Members shall use reasonable care and exercise independent professional judgment.

Q25.According to the CFA Institute Code of Ethics, CFA Institute members shall:

A)   act with integrity, competence, diligence, respect, and in an ethical manner when dealing with the public, clients, prospective clients, employers, employees, colleagues in the investment profession, and other participants in the global capital markets.

B)   maintain knowledge and comply with all applicable laws, rules and regulations.

C)   preserve the confidentiality of information communicated by clients, prospects, or employers concerning investment matters.

答案和详解如下：

Q21.According to the Code of Ethics, when practicing in a professional and ethical manner the goal is to:

A)   increase membership in CFA Institute.

B)   resolve conflicts between clients and employers.

C)   reflect credit on members and the profession.

Correct answer is C)

The Code states that a member shall “Practice and encourage others to practice in a professional and ethical manner that will reflect credit on members and their profession.”

Q22.According to the CFA Institute Code of Ethics, CFA Institute Members and Candidates must do all of the following EXCEPT:

A)   not knowingly violate the securities acts and laws.

B)   exercise independent judgment.

C)   act with integrity and dignity.

Correct answer is A)

Not knowingly violating the law is in the Standards of Professional Conduct, but is not in the Code of Ethics.

Q23.Which of the following is NOT part of the CFA Institute Code of Ethics. Members of CFA Institute will:

A)   use reasonable care and exercise independent professional judgment.

B)   recommend investments that maximize returns for a given level of risk.

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

Correct answer is B)

Standard of Professional Conduct III(C), not the Code of Ethics, requires that investments be appropriate and suitable.

Q24.Which of the following is a component of the Code of Ethics?

A)   Members shall not knowingly participate or assist in any violation of such laws, rules, or regulations.

B)   Members shall not engage in any professional conduct involving dishonesty, fraud, deceit, or misrepresentation or commit any act that reflects adversely on their honesty, trustworthiness, or professional competence.

C)   Members shall use reasonable care and exercise independent professional judgment.

Correct answer is C)

This is a component of the Code of Ethics. Others pertain to the Standards of Professional Conduct.

Q25.According to the CFA Institute Code of Ethics, CFA Institute members shall:

A)   act with integrity, competence, diligence, respect, and in an ethical manner when dealing with the public, clients, prospective clients, employers, employees, colleagues in the investment profession, and other participants in the global capital markets.

B)   maintain knowledge and comply with all applicable laws, rules and regulations.

C)   preserve the confidentiality of information communicated by clients, prospects, or employers concerning investment matters.

Correct answer is A)

Acting with integrity, competence, diligence, respect, and in an ethical manner when dealing with the public, clients, prospective clients, employers, employees, colleagues in the investment profession, and other participants in the global capital markets is one of the six components of the Code of Ethics, whereas the other statements are part of the Standards of Professional Conduct.

写写

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