Q1. Which of the following activities would be following a component of the Code of Ethics explicitly? A) Attending continuing education seminars on investing and inviting colleagues to come along. B) Consulting with colleagues about opinions you reach in your research. C) Maintaining a list of colleagues who have violated the CFA Institute standards.
Q2. According to the Code of Ethics, the professional judgment of a member should be: A) guided by the SEC guidelines. B) independent. C) dependent on that of his/her colleagues.
Q3. According to the Code of Ethics, which of the following statements is FALSE? CFA Institute members are required to: A) use reasonable care and exercise independent professional judgment. B) comply with the CFA Institute Performance Presentation Standards. C) maintain and improve their competence and strive to maintain the competence of others in the profession.
Q4. Which of the following is NOT part of the CFA Institute Code of Ethics? A) Contractual provisions. B) Independent judgment. C) Competence. Q5. The first component of the Code of Ethics does NOT explicitly say that a CFA Institute member will act in a certain manner with respect to which of the following groups? A) Colleagues in the investment profession. B) The SEC. C) The public.
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发表于 2008-12-29 15:46
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