CFA习题《职业道德》习题精炼：GIPS标准及道德规范组成部分

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CFA习题一：GIPS标准

In order to achieve compliance with GIPS Standards, it is recommended that firms:

A adopt the broadest, most meaningful definition of the firm.

B provide existing clients a compliant presentation applicable to their portfolio, at a minimum of a bi- annual basis.

C define the firm by including all geographical offices operating under the same firm name.

CFA习题二：CFA协会道德规范的组成部分

Which of the following is not a component of the CFA Institute Code of Ethics?

A Promote financial integrity and seek to prevent and punish abuses in the financial markets.

B Place the integrity of the investment profession and the interests of clients above their own personal interests.

C Practice and encourage others to practice in a professional and ethical manner that will reflect credit on themselves and the profession.

查看答案解析【习题一】

【答案】

【习题一】A

【解析】

A is correct. The Fundamentals of Compliance recommend that firms should adopt the broadest, most meaningful definition of the firm.

B is incorrect, firms are recommended to provide each client, on an annual basis, a compliant presentation of the composite in which the client’s portfolio is included.

C is incorrect, the scope of the definition should include all geographical offices operating under the same brand name regardless of the actual name of the individual investment management company.

查看答案解析【习题二】

【答案】

【习题二】（A）

【解析】

A is correct. Punishing abuses in the financial sector is not included in any of the six components of the CFA Code of Ethics.

B is incorrect because placing the integrity of the investment profession and the interests of clients above their own personal interests is one of the six components of the Code of Ethics.

C is incorrect because practicing and encouraging others to practice in a professional and ethical manner that will reflect credit on themselves and the profession is one of the six components of the Code of Ethics.

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