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CFA一级课后题(上册).pdf
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CFA一级课后题(上册).pdf
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CFA一级课后题刷题检视表(第1遍)
ETHICAL AND
PROFESSIONAL
STANDARDS AND
QUANTITATIVE
METHODS
CFA
®
Program Curriculum
2020
•
LEVEL I
•
VOLUME 1
Ethical and Professional
Standards
This study session introduces ethics, related challenges to ethical behavior, and the
role played by ethics and professionalism in the investment industry. A framework
to support ethical decision- making is provided to help guide behavior. e CFA
Institute Code of Ethics and Standards of Professional Conduct (Code and Standards)
are examined, with attention given to each standard and its application. e session
concludes with coverage of the Global Investment Performance Standards.
READING ASSIGNMENTS
Reading 1 Ethics and Trust in the Investment Profession
by Bidhan L. Parmar, PhD, Dorothy C. Kelly, CFA, and
David B. Stevens, CIMC, CFA
Reading 2 Code of Ethics and Standards of Professional Conduct
Standards of Practice Handbook, Eleventh Edition
Reading 3 Guidance for Standards I–VII
Standards of Practice Handbook, Eleventh Edition
Reading 4 Introduction to the Global Investment Performance
Standards (GIPS)
Reading 5 Global Investment Performance Standards (GIPS)
ETHICAL AND PROFESSIONAL STANDARDS
STUDY SESSION
1
© 2019 CFA Institute. All rights reserved.
Ethics and Trust in the
Investment Profession
by Bidhan L. Parmar,PhD, Dorothy C. Kelly,CFA, and
David B. Stevens,CIMC, CFA
Bidhan L. Parmar, PhD, is at the University of Virginia (USA). Dorothy C. Kelly, CFA, is at
McIntire School of Commerce, University of Virginia (USA). David B. Stevens, CIMC, CFA,
is at Wells Fargo Private Bank (USA).
LEARNING OUTCOMES
Mastery The candidate should be able to:
a. explain ethics;
b. describe the role of a code of ethics in dening a profession;
c. describe professions and how they establish trust;
d. describe the need for high ethical standards in investment
management;
e. explain professionalism in investment management;
f. identify challenges to ethical behavior;
g. distinguish between ethical and legal standards;
h. describe a framework for ethical decision making.
INTRODUCTION
As a candidate in the CFA Program, you are both expected and required to meet
high ethical standards. is reading introduces ideas and concepts that will help you
understand the importance of ethical behavior in the investment industry. You will
be introduced to various types of ethical issues within the investment profession and
learn about the CFA Institute Code of Ethics.
e readings covering ethics and professional standards demonstrate that ethi-
cal behavior is central to creating trust. Professional behavior is equally important.
Professions help maintain trust in an industry by establishing codes and setting
1
READING
1
© 2016 CFA Institute. All rights reserved.
Reading 1
■
Ethics and Trust in the Investment Profession30
PRACTICE PROBLEMS
1 Benchmarks for minimally acceptable behaviors of community members are:
A a code of ethics.
B laws and regulations.
C standards of conduct.
2 Specialized knowledge and skills, a commitment to serve others, and a shared
code of ethics best characterize a(n):
A vocation.
B profession.
C occupation.
3 Which of the following best identies an internal trait that may lead to poor
ethical decision making?
A Overcondence
B Loyalty to employer
C Promise of money or prestige
4 Situational inuences in decision making will most likely be minimized if:
A strong compliance programs are in place.
B longer- term consequences are considered.
C individuals believe they are truthful and honest.
5 Decision makers who use a compliance approach are most likely to:
A avoid situational inuences.
B oversimplify decision making.
C consider more factors than when using an ethical decision- making
approach.
6 When unethical behavior erodes trust in an investment rm, that rm is more
likely to experience:
A lower revenues only.
B higher expenses only.
C lower revenues and higher expenses.
7 Which is an example of an activity that may be legal but that CFA Institute
considers unethical?
A Making legally required disclosures in marketing materials
B Trading while in possession of material nonpublic information
C Disclosure by an employee of his or her own company’s dishonest activity
8 An ethical decision- making framework will most likely:
A include a pre- determined, uniform sequence.
B focus exclusively on conrmable facts and relationships.
C help avoid a decision that has unanticipated ethical consequences.
9 High ethical standards are distinguishing features of which of the following
bodies?
A Craft guilds
© 2017 CFA Institute. All rights reserved.
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