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【CFA每日一测】CFA一级:Ethics

日期: 2019-09-11 13:45:07 作者: 刘晓芒

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  CFA一级自测题

  1.Which of the following statements is most accurate? A profession’s code of ethics:

  A.includes standards of conduct or specific benchmarks for behavior.

  B.ensures that all members of a profession will act ethically at all times.

  C.publicly communicates the shared principles and expected behaviors of a profession’s members.

  2.Which of the following statements is most accurate?

  A.Large financial rewards, such as bonuses, are the most powerful situational influences.

  B.When decisions making focuses on short-term factors, the likelihood of ethical conduct increases.

  C.Situational influences can motivate individuals to act in their short-term self-interests without recognizing the long-term risks or consequences for themselves and others.

  3.Which of the following statements is most accurate? Investment professionals have a special responsibility to act ethically because:

  A.the industry is heavily regulated.

  B.they are entrusted to protect clients’ assets.

  C.the profession requires compliance with its code of ethics.

  4.Which of the following statements is most accurate?

  A.All legal behavior is ethical behavior.

  B.Some ethical behavior may be illegal.

  C.Legal standards represent the highest standard.

  5.Which of the following statements is most accurate?

  A.Increased regulations are the most useful means to reduce unethical behavior by market participants.

  B.Regulators quickly design and implement laws and regulations to address practices that adversely affect the fairness and efficiency of markets.

  C.New laws designed to reduce or eliminate conduct that adversely affects the markets can create opportunities for different, but similarly problematic, conduct.

  CFA一级自测题答案往下翻

  1.Solution: C.

  A profession’s code of ethics publicly communicates the shared principles and expected behaviors of a profession’s members. The existence of a code of ethics does not ensure that all members will behave in a manner consistent with the code and act ethically at all times. A profession will often establish a disciplinary process to address alleged violations of the code of ethics. A profession may adopt standards of conduct to enhance and clarify the code of ethics.

  2.Solution: C.

  Situational influences can motivate individuals to act in their short-term self-interests without recognizing the long-term risks or consequences for themselves and others. Large financial rewards are powerful situational influences, but in some situations, other situational influences, such as loyalty to colleagues, may be even more powerful.

  3.Solution: B.

  Investment professionals have a special responsibility because clients entrust them to protect the clients’ assets.

  4.Solution: B.

  Some ethical behavior may be illegal. Civil disobedience is an example of what may be illegal behavior that some consider to be ethical. Legal and ethical behavior often coincide but not always. Standards of conduct based on ethical principles may represent a higher standard of behavior than the behavior required by law.

  5.Solution: C.

  New laws designed to reduce or eliminate conduct that adversely affects the markets can create opportunities for different, but similarly problematic, conduct.


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