Q6. All of the following are components of the Code of Ethics EXCEPT:

A)   demonstrating diligence, independence, and thoroughness when preparing investment reports.

B)   using reasonable care and exercising independent professional judgment.

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

Q7. 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.

Q8. The first component of the Code of Ethics does NOT explicitly say that a CFA Institute member will act with which of the following?

A)   Integrity.

B)   Competence.

C)   Solemnity.

Q9. Which of the following is NOT part of the CFA Institute Code of Ethics?

A)   Independent judgment.

B)   Contractual provisions.

C)   Competence.

Q10. According to the Code of Ethics, when practicing in a professional and ethical manner the goal is to:

A)   reflect credit on members and the profession.

B)   increase membership in CFA Institute.

C)   resolve conflicts between clients and employers.

Q11. The Code of Ethics does NOT explicitly say that a CFA Institute member shall do which of the following?

A)   Reflect credit on the profession.

B)   Act with integrity.

C)   Actively lobby for new laws to protect the public.

Q1-5答案和详解如下：

Q6. All of the following are components of the Code of Ethics EXCEPT:

A)   demonstrating diligence, independence, and thoroughness when preparing investment reports.

B)   using reasonable care and exercising independent professional judgment.

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

Correct answer is A)

Demonstrating diligence, independence, and thoroughness when preparing investment reports is found in the Standards of Professional Conduct.

Q7. 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.

Q8. The first component of the Code of Ethics does NOT explicitly say that a CFA Institute member will act with which of the following?

A)   Integrity.

B)   Competence.

C)   Solemnity.

Correct answer is C)

Component one mentions all of these except solemnity.

Q9. Which of the following is NOT part of the CFA Institute Code of Ethics?

A)   Independent judgment.

B)   Contractual provisions.

C)   Competence.

Correct answer is B)

Contractual provisions are not part of the Code of Ethics.

Q10. According to the Code of Ethics, when practicing in a professional and ethical manner the goal is to:

A)   reflect credit on members and the profession.

B)   increase membership in CFA Institute.

C)   resolve conflicts between clients and employers.

Correct answer is A)

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.”

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Q11答案和详解如下：

Q11. The Code of Ethics does NOT explicitly say that a CFA Institute member shall do which of the following?

A)   Reflect credit on the profession.

B)   Act with integrity.

C)   Actively lobby for new laws to protect the public.

Correct answer is C)

The Code of Ethics says nothing about a CFA Institute member lobbying for new laws. In fact, legal issues are not a part of the Code. The Standards of Professional Conduct say that the member shall obey laws.

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