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.
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.
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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