答案和详解如下： A) exercise independent judgment. B) act with integrity and dignity. C) not knowingly violate the securities acts and laws. Correct answer is C) Not knowingly violating the law is in the Standards of Professional Conduct, but is not in the Code of Ethics. 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. Correct answer is C) This is a component of the Code of Ethics. Others pertain to the Standards of Practice. 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. Correct answer is C) The Code of Ethics says nothing about a CFA Institute member lobbying for new laws. In fact, legal issues are not a part of the Code. The Standards of Professional Conduct say that the member shall obey laws. 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. Correct answer is Integrity, competence, and respect are included in the first component of the Code of Ethics. 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. Correct answer is B) Striving to maintain and improve their competence and the competence of others in the profession is one of the components of the Code of Ethics, whereas the other statements are part of the Standards of Professional Conduct. | 
发表于 2009-1-5 08:58
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