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.
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.
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.
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.
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.
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发表于 2009-1-5 15:10
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