历年注册金融分析试CFA考题第一套试题.docx
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历年注册金融分析试CFA考题第一套试题.docx
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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’sCodeofEthicsandStandardsofProfessionalConduct)ofanygovernment,governmentagency,regulatoryorganization,licensingagency,orprofessionalassociationgoverningthemembers’professionalactivities.Compliance:
Memberscanacquireandmaintainknowledgeaboutapplicablelaws,rules,andregulationsby:
·Maintainingcurrentfilesonapplicablestatutes,rules,andregulations.·Keepinginformed.·Reviewingwrittencomplianceproceduresonaregularbasis.B.:
Don'tbreakorhelpothersbreakthelaw.Standard:
Notknowinglyparticipateorassistinanyviolationofsuchlaws,rules,orregulations.Compliance:
Whenmemberssuspectaclientoracolleagueofplanningorengaginginongoingillegalactivities,membersshouldtakethefollowingactions:
·Consultcounseltodetermineiftheconductis,infact,illegal.·Disassociatefromanyillegalorunethicalactivity.Whenmembershavereasonablegroundstobelievethataclient’soremployee’sactivitiesareillegalorunethical,themembersshoulddissociatefromtheseactivitiesandurgetheirfirmtoattempt
ttopersuadetheperpetratortoceasesuchactivity.2-II.:
StandardsofProfessionalConduct:
II.RelationshipswithandResponsibilitiestotheProfessionA.:
UseofProfessionalDesignationII(A.1)AIMRmembersmayreferencetheirmembershiponlyinadignifiedandjudiciousmanner.Theuseofthereferencemaybeaccompaniedbyanaccurateexplanationoftherequirementsthathavebeenmettoobtainmembershipintheseorganizations.II(A.2)ThosewhohaveearnedtherighttousetheCharteredFinancialAnalystdesignationmayusethemarks“CharteredFinancialAnalyst”or“CFA”andareencouragedtodoso,butonlyinaproper,dignified,andjudiciousmanner.Theuseofthedesignationmaybeaccompaniedbyanaccurateexplanationoftherequirementsthathavebeenmettoobtaintherighttousethedesignation.II(A.3)CandidatesintheCFAProgram,asdefinedintheAIMRBylaws,mayreferencetheirparticipationintheCFAProgram,butthereferencemustclearlystatethatanindividualisacandidateintheCFAProgramandcannotimplythatthecandidatehasachievedanytypeofpartialdesignation.B.:
ProfessionalMisconductII(B.1)Membersshallnotengageinanyprofessionalconductinvolvingdishonesty,fraud,deceit,ormisrepresentationorcommitanyactthatreflectsadverselyontheirhonesty,trustworthiness,orprofessionalcompetence.II(B.2)MembersandcandidatesshallnotengageinanyconductorcommitanyactthatcompromisestheintegrityoftheCFAdesignationortheintegrityorvalidityoftheexaminationsleadingtotheawardoftherighttousetheCFAdesignation.Compliance:
1.Makeclearthatdishonestpersonalbehaviorreflectspoorlyontheprofession.2.Adoptacodeofethicstowhicheveryemployeemustsubscribe.3.Conductbackgroundchecksonpotentialemployeestoensurethattheyareofgoodcharacterandeligibletoworkintheinvestmentindustry.C.:
ProhibitionagainstPlagiarismStandard:
Membersshallno
tcopyoruse,insubstantiallythesameformastheoriginal,materialpreparedbyanotherwithoutacknowledgingandidentifyingthenameoftheauthor,publisher,orsourceofsuchmaterial.Membersmayuse,withoutacknowledgment,factualinformationpublishedbyrecognizedfinancialandstatisticalreportingservicesorsimilarsources.?
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Compliance:
1.Maintaincopiesofmaterialsthatwerereliedoninpreparingtheresearchreport.2.Attributequotations(andprojections,tables,statistics,models,andmethodologies)usedotherthanrecognizedfinancialandstatisticalreportingservices.3.Attributeparaphrasesandsummariesofmaterialpreparedbyothers.2-III.:
StandardsofProfessionalConduct:
III.RelationshipsandResponsibilitiestotheEmployerA.:
InformyourEmployeroftheCodeandStandardsIII(A.1)Membersshallinformtheiremployerinwriting,throughtheirdirectsupervisor,thattheyareobligatedtocomplywiththeCodeandStandardsandaresubjecttodisciplinarysanctionsforviolationsthereof.III(A.2)MembersshalldeliveracopyoftheCodeandStandardstotheiremployeriftheemployerdoesnothaveacopy.Compliance:
MembersshouldnotifytheirsupervisorinwritingoftheCodeandStandardsandthemember’sresponsibilitytofollowthem.ThemembershouldalsosuggestthattheemployersadopttheCodeandStandardsanddisseminateitthroughoutthefirm.Iftheemployerhaspubliclyacknowledged,inwriting,thattheyhaveadoptedAIMR’sCodeandStandardsaspartofthefirm’spoliciesthenthememberneednotgivetheformalwrittennotificationasrequiredbyIII(A).B.:
DutytoEmployerStandard:
Membersshallnotundertakeanyindependentpracticethatcouldresultincompensationorotherbenefitincompetitionwiththeiremployerunlesstheyobtainwrittenconsentfromboththeiremployerandthepersonsorentitiesforwhomtheyundertakeindependentpractice.?
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Compliance:
1.Memberswhoplantoen
gageinindependentpracticeforcompensationshouldprovidewrittenstatementstotheiremployerdescribingthetypesofservicestheywillperform,theexpecteddurationoftheservices,andthecompensationtheywillreceive.2.Membersshouldalsodisclosetotheirprospectiveclientstheidentityoftheiremployer,thefactthattheyareperformingindependentlyoftheemployer,andwhattheiremployerwouldchargeforsimilarservices.3.Membersseekingnewemploymentshouldnotcontactexistingclientsorpotentialclientspriortoleavingtheiremployerortakerecords/filestotheirnewemployerwithoutthewrittenpermissionofthepreviousemployer.C.:
DiscloseConflictsbetweenyouandyourEmployerIII(C.1):
Membersshalldisclosetotheiremployerallmatters,includingbeneficialownershipofsecuritiesorotherinvestments,thatreasonablycouldbeexpectedtointerferewiththeirdutytotheiremployerorabilitytomakeunbiasedandobjectiverecommendations.III(C.2):
Membersshallcomplywithanyprohibitionsonactivitiesimposedbytheiremployerifaconflictofinterestexists.Compliance:
Membersshouldreporttotheiremployersanybeneficialinterestandanyspecialrelationships,likecorporatedirectorships,thatmayreasonablybeconsideredaconflictofinterestwiththeirresponsibilities.Membersshouldalsodiscussthesituationwiththeirfirm’scomplianceofficerbeforetakinganyactionthatcouldleadtoaconflictofinterest.D.:
DiscloseAdditionalCompensationfromOutsidetheFirmtoyourEmployerStandard:
Membersshalldisclosetotheiremployerinwritingallmonetarycompensationorotherbenefitsthattheyreceivefortheirservicesthatareinadditiontocompensationorbenefitsconferredbyamember’semployer.Compliance:
Membersshouldmakeanimmediatewrittenreporttotheiremployerspecifyinganycompensationorbenefitstheyreceiveorproposetoreceiveforservicesinadditiontowhattheiremployer
istogivethem.Thiswrittenreportshouldstatethetermsofanyoralorwrittenagreement,theamountofcompensation,andthedurationoftheagreement.E.:
ResponsibilitiesofSupervisorsStandard:
Memberswithsupervisoryresponsibilities,authority,ortheabilitytoinfluencetheconductofothersshallexercisereasonablesupervisionoverthosesubjecttotheirsupervisionorauthoritytopreventanyviolationofapplicablestatutes,regulation,orprovisionsoftheCodeandStandards.Insodoing,membersareentitledtorelyonreasonableproceduresdesignedtodetectandpreventsuchviolations.?
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Compliance:
Thesupervisorandthecomplianceofficershould:
1.Disseminatethecomplianceprocedures.2.Updatetheproceduresasnecessary.3.Educatethestaffandissueperiodicreminders.4.Incorporateaprofessionalconductevaluationintotheemployee’sperformancereview.5.Reviewemployeeactionstoensurecomplianceandidentifyviolators,initiatingproceduresonceaviolationhasoccurred.Asupervisorshouldrespondpromptlytotheviolationbyconductingathoroughinvestigation,andplacinglimitationsonthewrongdoeruntiltheinvestigationiscomplete.2-IV.:
StandardsofProfessionalConduct:
IV.RelationshipswithandResponsibilitiestoClientsandProspectsA.:
TheInvestmentProcessIV(A.1)ReasonableBasisandRepresentations.Membersshall:
a.Exercisediligenceandthoroughnessinmakinginvestmentrecommendationsorintakinginvestmentactions.b.Haveareasonableandadequatebasis,supportedbyappropriateresearchandinvestigation,forsuchrecommendationsoractions.c.Makereasonableanddiligenteffortstoavoidanymaterialmisrepresentationinanyresearchreportorinvestmentrecommendation.d.Maintainappropriaterecordstosupportthereasonablenessofsuchrecommendationsoractions.Compliance:
1.Analyzetheinvestment’sbasiccharacteristics(recordsmustshowthecharacteristics
oftheinvestmentandthebasisfortherecommendation).2.Anal
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