CFA一级Ethical and Professional Standards参考.doc

一、Ethical and Professional Standards 1.: Code of Ethics Question ID: 27272 All of the following are components of the Code of Ethics EXCEPT: A. demonstrating diligence, perseverance, and thoroughness when preparing investment reports. B. using reasonable care and exercising independent professional judgment. C. acting with integrity, competence, dignity, and in an ethical manner when dealing with others. D. striving to maintain and improve their competence and the competence of others in the profession. A The final component in the Code of Ethics is practicing and encouraging others to practice in a professional and ethical manner that will reflect credit on members and their profession. Question ID: 27271 Which of the following is NOT a component of the Code of Ethics? In dealing with the public, clients, prospects, employers, employees, and fellow members, AIMR members shall act with: A. dignity. B. competence. C. integrity. D. humility. D Although acting with humility may be desirable, AIMR members are not required to do so. However, they should act in a manner that reflects credit on themselves and their profession. Question ID: 10579Which of the following is NOT part of the AIMRs Code of Ethics? A. Integrity and dignity B. Competence C. Contractual provisions D. Independent judgment C Question ID: 10582In dealing with the public and others, the AIMR Code of Ethics indicates that AIMR members will act with: A. integrity, competence, and dignity. B. honesty, professionalism, and goodwill. C. confidence, knowledge, and high ethical standards. D. conviction, skill, and ethical awareness. A Question ID: 10584Which of the following is a component of the Code of Ethics? A. Members shall not engage in any professional conduct involving dishonesty, fraud, deceit, or misrepresentation or commit any act that reflects adversely on their honesty, trustworthiness, or professional competence.