Q6. John Elliot, CFA, says that in issues of ethics he always puts the clients first according to the guidelines in the Code of Ethics. In doing so he is: A) correct. B) not correct, because his first duty is to the public. C) not correct, because no such ordering or priority is given in the Code.
Q7. Which of the following is a component of the Code of Ethics? CFA Institute members shall: A) not knowingly participate or assist in any violation of laws, rules, or regulations. B) use particular care in determining applicable fiduciary duty. C) use reasonable care and exercise independent professional judgment.
Q8. The CFA Institute Code of Ethics least likely requires a Member or Candidate to: A) Strive to maintain and improve the competence of others in the profession. B) Practice and encourage others to practice in a professional and ethical manner that will reflect credit on members and their profession. C) Understand and comply with all applicable laws, rules, and regulations.
Q9. According to the Code of Ethics, a member reflects credit on the profession when a member: A) consults with other members on a regular basis. B) practices in a professional and ethical manner. C) places the clients first.
Q10. Which of the following is least likely a component of the Code of Ethics? In dealing with the public, clients, prospects, employers, employees, and fellow members, CFA Institute members shall act with: A) integrity. B) respect. C) humility.
[此贴子已经被作者于2009-1-5 8:52:03编辑过] | 
发表于 2009-1-5 08:50
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