文档介绍：CFA一级容:CFA历年考试模拟题(一) 一、EthicalandProfessionalStandards 1.:CodeofEthics A.:ponentsoftheCodeofEthics. MembersofAIMRshall: ,dignity,hicalmannerwhendealingwiththepublic,clients,prospects,employers,employees,andfellowmembers. . . . tolaunchStandardsofPractice 2-I.:StandardsofProfessionalConduct: A.:Knowthelawsandrules. Standard:plywithallapplicablelaws,rules,andregulations(includingAIMR’sCodeofEthicsandStandardsofProfessionalConduct)ofanygovernment,governmentagency,anization,licensingagency,orprofessionalassociationgoverningthemembers’professionalactivities. Compliance:Memberscanacquireandmaintainknowledgeaboutapplicablelaws,rules,andregulationsby: ·Maintainingcurrentfilesonapplicablestatutes,rules,andregulations. ·Keepinginformed. ·plianceproceduresonaregularbasis. B.:Don'tbreakorhelpothersbreakthelaw. Standard:Notknowinglyparticipateorassistinanyviolationofsuchlaws,rules,orregulations. Compliance:Whenmemberssuspectaclientoracolleagueofplanningorengaginginongoingillegalactivities,membersshouldtakethefollowingactions: ·Consultcounseltodetermineiftheconductis,infact,illegal. ·’soremployee’hical,themembersshoulddissociatefromtheseactivitiesandurgetheirfirmtoattempttopersuadetheperpetratortoceasesuchactivity. 2-II.:StandardsofProfessionalConduct: A.:UseofProfessionalDesignation II() . II() ThosewhohaveearnedtherighttousetheCharteredFinancialAnalystdesignationmayusethemarks“CharteredFinancialAnalyst”or“CFA”andareencouragedtodoso,butonlyinaproper,dignified,