CFA历年考题：Ethical and Professional Standards

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一、Ethical and Professional Standards
# A! g; f. Q- r1: Code of Ethics
A: State the four components of the Code of Ethics.
9 h' D  c% p. m3 U2 ]4 wMembers of AIMR shall:
1. Act with integrity, competence, dignity, and in an ethical manner when dealing with the public, clients, prospects, employers, employees, and fellow members.
6 M6 F* F/ m: E2 {  r2. Practice and encourage others to practice in a professional and ethical manner that will reflect credit on members and their profession.
" s' s' {" U8 ~' y: T: W( M  K3. Strive to maintain and improve their competence and the competence of others in the profession.
* H  Q+ d$ R* J: O9 z4. Use reasonable care and exercise independent professional judgment.
2 z5 F! x  H* T) e9 X& f$ \to launch Standards of Practice

6 a* s& X) n4 A7 d4 p: R& |2-I.: Standards of Professional Conduct: I. Fundamental Responsibilities
& B, }0 b* ?; p! ^  ~3 |5 i9 ~A: Know the laws and rules.
Standard: Maintain knowledge of and comply with all applicable laws, rules, and regulations (including AIMR’s Code of Ethics and Standards of Professional Conduct) of any government, government agency, regulatory organization, licensing agency, or professional association governing the members’ professional activities.

Compliance: Members can acquire and maintain knowledge about applicable laws, rules, and regulations by:
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· Maintaining current files on applicable statutes, rules, and regulations.

; C% B! e$ f) K$ ^' ~· Keeping informed.
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· Reviewing written compliance procedures on a regular basis.
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9 \" W! j: w/ B/ cB: Don't break or help others break the law.
; h+ v0 O- [! h  e9 VStandard: Not knowingly participate or assist in any violation of such laws, rules, or regulations.
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9 @9 H+ L. g" n" u- c% MCompliance: When members suspect a client or a colleague of planning or engaging in ongoing illegal activities, members should take the following actions:

8 p5 ~7 @3 Z0 C$ [' |· Consult counsel to determine if the conduct is, in fact, illegal.

· Disassociate from any illegal or unethical activity. When members have reasonable grounds to believe that a client’s or employee’s activities are illegal or unethical, the members should dissociate from these activities and urge their firm to attempt to persuade the perpetrator to cease such activity.
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