Q6. All of the following are components of the Code of Ethics EXCEPT: A) demonstrating diligence, independence, and thoroughness when preparing investment reports. B) using reasonable care and exercising independent professional judgment. C) striving to maintain and improve their competence and the competence of others in the profession.
Q7. According to the CFA Institute Code of Ethics, CFA Institute members shall: A) act with integrity, competence, diligence, respect, and in an ethical manner when dealing with the public, clients, prospective clients, employers, employees, colleagues in the investment profession, and other participants in the global capital markets. B) maintain knowledge and comply with all applicable laws, rules and regulations. C) preserve the confidentiality of information communicated by clients, prospects, or employers concerning investment matters.
Q8. The first component of the Code of Ethics does NOT explicitly say that a CFA Institute member will act with which of the following? A) Integrity. B) Competence. C) Solemnity.
Q9. Which of the following is NOT part of the CFA Institute Code of Ethics? A) Independent judgment. B) Contractual provisions. C) Competence.
Q10. According to the Code of Ethics, when practicing in a professional and ethical manner the goal is to: A) reflect credit on members and the profession. B) increase membership in CFA Institute. C) resolve conflicts between clients and employers.
Q11. 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.
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发表于 2009-1-5 15:12
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