Reading 1: Code of Ethics and Standards of Professional Co

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Q11. According to the CFA Institute Code of Ethics, CFA Institute Members and Candidates must do all of the following EXCEPT:

A) exercise independent judgment.

B) act with integrity and dignity.

C) not knowingly violate the securities acts and laws.

Q12. Which of the following is a component of the Code of Ethics?

A) Members and candidates shall not engage in any conduct or commit any act that compromises the integrity of the CFA designation or the integrity or validity of the examinations leading to the award of the right to use the CFA designation.

B) Members shall not copy or use, in substantially the same form as the original, material prepared by another without acknowledging and identifying the name of the author, publisher, or source of such material. Members may use, without acknowledgment, factual information published by recognized financial and statistical reporting services or similar sources.

C) Practice and encourage others to practice in a professional and ethical manner that will reflect credit on members and their profession.

Q13. 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.

Q14. In dealing with the public and others, the CFA Institute Code of Ethics indicates that CFA Institute members will act with:

A) confidence, knowledge, and high ethical standards.

B) honesty, professionalism, and goodwill.

C) integrity, competence, and respect.

Q15. Which of the following is a component of the Code of Ethics? CFA Institute members shall:

A) act for the benefit of their clients and place their clients' interests before their own.

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

C) disclose to their employer all matters that reasonably could be expected to interfere with their duty to their employer or ability to make unbiased and objective recommendations.

[此贴子已经被作者于2009-1-5 9:00:55编辑过]