历年注册金融分析试CFA考题第一套试题
历年注册金融分析试CFA考题第一套试题
一、EthicalandProfessionalStandards1.：CodeofEthicsA.：StatethefourcomponentsoftheCodeofEthics.MembersofAIMRshall：1.Actwithintegrity,competence,dignity,andinanethicalmannerwhendealingwiththepublic,clients,prospects,employers,employees,andfellowmembers.2.Practiceandencourageotherstopracticeinaprofessionalandethicalmannerthatwillreflectcreditonmembersandtheirprofession.3.Strivetomaintainandimprovetheircompetenceandthecompetenceofothersintheprofession.4.Usereasonablecareandexerciseindependentprofessionaljudgment.tolaunchStandardsofPractice2-I.：StandardsofProfessionalConduct：I.FundamentalResponsibilitiesA.：Knowthelawsandrules.Standard：Maintainknowledgeofandcomplywithallapplicablelaws,rules,andregulations(includingAIMR’sCodeofEthicsandStandardsofProfessionalConductofanygovernment,governmentagency,regulatoryorganization,licensingagency,orprofessionalassociationgoverningthemembers’professionalactivities.Compliance：Memberscanacquireandmaintainknowledgeaboutapplicablelaws,rules,andregulationsby：·Maintainingcurrentfilesonapplicablestatutes,rules,andregulations.·Keepinginformed.·Reviewingwrittencomplianceproceduresonaregularbasis.B.：Don'tbreakorhelpothersbreakthelaw.Standard：Notknowinglyparticipateorassistinanyviolationofsuchlaws,rules,orregulations.Compliance：Whenmemberssuspectaclientoracolleagueofplanningorengaginginongoingillegalactivities,membersshouldtake
thefollowingactions：·Consultcounseltodetermineiftheconductis,infact,illegal.·Disassociatefromanyillegalorunethicalactivity.Whenmembershavereasonablegroundstobelievethataclient’soremployee’sactivitiesareillegalorunethical,themembersshoulddissociatefromtheseactivitiesandurgetheirfirmtoattempt
ttopersuadetheperpetratortoceasesuchactivity.2-II.：StandardsofProfessionalConduct：II.RelationshipswithandResponsibilitiestotheProfessionA.：UseofProfessionalDesignationII(A.1AIMRmembersmayreferencetheirmembershiponlyinadignifiedandjudiciousmanner.Theuseofthereferencemaybeaccompaniedbyanaccurateexplanationoftherequirementsthathavebeenmettoobtainmembershipintheseorganizations.II(A.2ThosewhohaveearnedtherighttousetheCharteredFinancialAnalystdesignationmayusethemarks“CharteredFinancialAnalyst”or“CFA”andareencouragedtodoso,butonlyinaproper,dignified,andjudiciousmanner.Theuseofthedesignationmaybeaccompaniedbyanaccurateexplanationoftherequirementsthathavebeenmettoobtaintherighttousethedesignation.II(A.3CandidatesintheCFAProgram,asdefinedintheAIMRBylaws,mayreferencetheirparticipationintheCFAProgram,butthereferencemustclearlystatethatanindividualisacandidateintheCFAProgramandcannotimplythatthecandidatehasachievedanytypeofpartialdesignation.B.：ProfessionalMisconductII(B.1Membersshallnotengageinanyprofessionalconductinvolvingdishonesty,fraud,deceit,ormisrepresentationorcommitanyactthatreflectsadverselyontheirhonesty,trustworthiness,orprofessionalcompetence.II(B.2Membersandcandidates
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