CFA一级内容_CFA历年考试模拟试题一.docx

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1、CFA一级内容：CFA历年考试模拟题一一、Ethica1andProfessiona1Standards1 .:CodeofEthicsA.:StatethefourcomponentsoftheCodeofEthics.MembersofAIMRsha11:1. Actwithintegrity,competence,dignitzandinanethica1mannerwhendea1ingwiththepub1ic,c1ients,prospects,emp1oyers,emp1oyees,andfe11owmembers.2. Practiceandencourageotherstop

2、racticeinaprofessiona1andethica1mannerthatwi11ref1ectcreditonmembersandtheirprofession.3. Strivetomaintainandimprovetheircompetenceandthecompetenceofothersintheprofession.4. Usereasonab1ecareandexerciseindependentprofessiona1judgment.to1aunchStandardsofPractice2-I.:StandardsofProfessiona1Conduct:I.F

3、undamenta1Responsibi1itiesA.:Knowthe1awsandru1es.Standard:Maintainknow1edgeofandcomp1ywitha11app1icab1e1aws,ru1es,andregu1ations(inc1udingAIMR,sCodeofEthicsandStandardsofProfessiona1Conduct)ofanygovernment,governmentagency,regu1atoryorganization,1icensingagency,orprofessiona1associationgoverningthem

4、embersprofessiona1activities.Comp1iance:Memberscanacquireandmaintainknow1edgeaboutapp1icab1e1aws,ru1es,andregu1ationsby:,Maintainingcurrentfi1esonapp1icab1estatutes,ru1es,andregu1ations.,Keepinginformed.,Reviewingwrittencomp1ianceproceduresonaregu1arbasis.B.:Dontbreakorhe1pothersbreakthe1aw.Standard

5、:Notknowing1yparticipateorassistinanyvio1ationofsuch1aws,ru1es,orregu1ations.Comp1iance:Whenmemberssuspectac1ientoraco11eagueofp1anningorengaginginongoing川ega1activities,membersshou1dtakethefo11owingactions:,Consu1tcounse1todetermineiftheconductis,infact,i11ega1.,Disassociatefromanyi11ega1orunethica

6、1activity.Whenmembershavereasonab1egroundstobe1ievethatac1ientsoremp1oyeesactivitiesare川ega1orunethica1,themembersshou1ddissociatefromtheseactivitiesandurgetheirfirmtoattempttopersuadetheperpetratortoceasesuchactivity.2-II.:StandardsofProfessiona1Conduct:I1Re1ationshipswithandResponsibi1itiestothePr

7、ofessionA.:UseofProfessiona1DesignationII(A.1)AIMRmembersmayreferencetheirmembershipon1yinadignifiedandjudiciousmanner.Theuseofthereferencemaybeaccompaniedbyanaccurateexp1anationoftherequirementsthathavebeenmettoobtainmembershipintheseorganizations.II(A.2)ThosewhohaveearnedtherighttousetheCharteredF

8、inancia1Ana1ystdesignationmayusethemarksCharteredFinancia1Ana1ystzxorCFAwandareencouragedtodosozbuton1yinaproper,dignified,andjudiciousmanner.Theuseofthedesignationmaybeaccompaniedbyanaccurateexp1anationoftherequirementsthathavebeenmettoobtaintherighttousethedesignation.II(A.3)CandidatesintheCFAProg

9、ram,asdefinedintheAIMRBy1aws,mayreferencetheirparticipationintheCFAProgram,butthereferencemustc1ear1ystatethatanindividua1isacandidateintheCFAProgramandcannotimp1ythatthecandidatehasachievedanytypeofpartia1designation.B.:Professiona1MisconductII(B.1)Memberssha11notengageinanyprofessiona1conductinvo1

10、vingdishonesty,fraud,deceit,ormisrepresentationorcommitanyactthatref1ectsadverse1yontheirhonesty,trustworthiness,orprofessiona1competence.II(B.2)Membersandcandidatessha11notengageinanyconductorcommitanyactthatcompromisestheintegrityoftheCFAdesignationortheintegrityorva1idityoftheexaminations1eadingt

11、otheawardoftherighttousetheCFAdesignation.Comp1iance:1. Makec1earthatdishonestpersona1behaviorref1ectspoor1yontheprofession.2. Adoptacodeofethicstowhicheveryemp1oyeemustsubscribe.3. Conductbackgroundchecksonpotentia1emp1oyeestoensurethattheyareofgoodcharacterande1igib1etoworkintheinvestmentindustry.

12、C.:ProhibitionagainstP1agiarismStandard:Memberssha11notcopyoruse,insubstantia11ythesameformastheorigina1,materia1preparedbyanotherwithoutacknow1edgingandidentifyingthenameoftheauthor,pub1isher,orsourceofsuchmateria1.Membersmayusezwithoutacknow1edgment,factua1informationpub1ishedbyrecognizedfinancia1

13、andstatistica1reportingservicesorsimi1arsources.Comp1iance:1. Maintaincopiesofmateria1sthatwerere1iedoninpreparingtheresearchreport.2. Attributequotations(andprojections,tab1es,statistics,mode1s,andmethodo1ogies)usedotherthanrecognizedfinancia1andstatistica1reportingservices.3. Attributeparaphrasesa

14、ndsummariesofmateria1preparedbyothers.2-III.:StandardsofProfessiona1Conduct:III.Re1ationshipsandResponsibi1itiestotheEmp1oyerA.:InformyourEmp1oyeroftheCodeandStandardsIII(A.1)Memberssha11informtheiremp1oyerinwriting,throughtheirdirectsupervisor,thattheyareob1igatedtocomp1ywiththeCodeandStandardsanda

15、resubjecttodiscip1inarysanctionsforvio1ationsthereof.III(A.2)Memberssha11de1iveracopyoftheCodeandStandardstotheiremp1oyeriftheemp1oyerdoesnothaveacopy.Comp1iance:Membersshou1dnotifytheirsupervisorinwritingoftheCodeandStandardsandthemembersresponsibi1itytofo11owthem.Themembershou1da1sosuggestthatthee

16、mp1oyersadopttheCodeandStandardsanddisseminateitthroughoutthefirm.Iftheemp1oyerhaspub1ic1yacknow1edged,inwriting,thattheyhaveadoptedAIMRzsCodeandStandardsaspartofthefirmspo1iciesthenthememberneednotgivetheforma1writtennotificationasrequiredbyIII(A).B.:DutytoEmp1oyerStandard:Memberssha11notundertakeanyindependentpracticethatcou1dresu1tincompensationorotherbenefitincompetitionwitht