答案和详解如下： Q1. Which of the following is a component of the Code of Ethics? CFA Institute members shall: A) use reasonable care and exercise independent professional judgment. B) not knowingly participate or assist in any violation of laws, rules, or regulations. C) use particular care in determining applicable fiduciary duty. Correct answer is A) Using reasonable care and exercising independent professional judgment is one of the components of the Code of Ethics, whereas the other statements are part of the Standards of Professional Conduct. Q2. Which of the following is NOT part of the CFA Institute Code of Ethics. Members of CFA Institute will: A) recommend investments that maximize returns for a given level of risk. B) use reasonable care and exercise independent professional judgment. C) strive to maintain and improve their competence and the competence of others in the profession. Correct answer is A) Standard of Professional Conduct III(C), not the Code of Ethics, requires that investments be appropriate and suitable. Q3. 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. Correct answer is B) Component four of the Code says that a member shall “Practice and encourage others to practice in a professional and ethical manner that will reflect credit on members and the profession.” Neither of the other choices are implied by the Code. Q4. Which of the following is a component of the Code of Ethics? A) Members shall use reasonable care and exercise independent professional judgment. B) Members shall not knowingly participate or assist in any violation of such laws, rules, or regulations. C) 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. Correct answer is A) This is a component of the Code of Ethics. Others pertain to the Standards of Professional Conduct. Q5. 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) not knowingly violate the securities acts and laws. C) act with integrity and dignity. Correct answer is B) Not knowingly violating the law is in the Standards of Professional Conduct, but is not in the Code of Ethics. | 
发表于 2009-1-5 15:10
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