[单项选择]According to the Code of Ethics and Standards of Professional Conduct, which of the following is NOT among primary principles that the Rules of Procedure for Proceedings Related to Professional Conduct are based on（）
A. Confidentiality of proceedings.
B. Fair process to the member and candidate.
C. Confidentiality of disciplinary sanctions.

[单项选择]According to the Standards of Professional Conduct relating to record retention, if local regulatory guidance is in place and requires at least 5 years of maintenances, CFA members should keep records for at least:（）
A. 5 years.
B. 7 years.
C. 10 years.

[单项选择]According to the Standards of Practice Handbook, which of the following is most directly responsible for enforcement of the Code of Ethics and Professional Conduct Standards（）
A. CFA Institute Disciplinary Review Committee.
B. CFA Institute member volunteers affiliated with disciplinary Review Committee.
C. CFA Institute Designated Officer.

[单项选择]According to the Professional Conduct Standards relating to responsibility of supervisors, supervisors are NOT required to:（）
A. take steps to prevent persons acting under their supervision from violating Jaws, rules, regulations, firm policies, or the Code of Ethics and Professional Conduct Standards.
B. contain the firm's compliance procedures in a clearly written and accessible manual that is tailored to the firm's operations.
C. exercise supervisory responsibility to employees who are not CFA Institute members.

[单项选择]With respect to the CFA Institute Code of Ethics and Standards of Professional Conduct, which of the following is least likely to prompt an inquiry by the CFA Institute Professional Conduct Program
A. Written complaints received by Professional Conduct staffs.
B. A violation report submitted by CFA examination proctors.
C. Internal investigations of members conducted by local CFA societies.

[简答题]My Idea of Professional Ethics for a Scientist

[单项选择]

Text 4
We assumed ethics needed the seal of certainty, else it was non-rational. And certainty was to be produced by a deductive model: the correct actions were derivable from classical first principles or a hierarchical ranked pantheon of principles. This model, though, is bankrupt.
I suggest we think of ethics as analogous to language usage. There are no univocal rules of gram mar and style which uniquely determine the best sentence for a particular situation. Nor is language usage universalizable. Although a sentence or phrase is warranted in one case, it does not mean it is automatically appropriate in like circumstances. Nonetheless, language usage is not subjective.
This should not surprise us in the least. All ’intellectual pursuits are relativistic in just these senses. Political science, psychology, chemistry, and physics are not certain, but they are not subjective either. As I see it, ethical inquiry proceed like this: we are taught
A. Both have rules to make the optimal choice under a circumstance.
B. Both vary according to the context they are applicable to,
C. Both are thought to be objective, not subjective, existence.
D. Both contain sets of rules applied in quite different conditions.

[单项选择]Under International Financial Reporing Standards (IFRS), interests received are classified on the cash flow statement as:（）
A. an investing cash flow.
B. an operating cash flow.
C. either an investing or an operating cash flow.

[单项选择]According to the passage,


A. the problem of student cheating has its roots in deeper problems
B. students do not cheat on essay tests
C. a change in the educational system will eliminate the need to cheat
D. punishment is an effective method of stopping cheating

[单项选择]Identifying which quality standards are relevant to the project and determining how to satisfy them should be addressed during （）.
A. the conceptual phase
B. the planning process
C. project implementation
D. risk identification

[单项选择]
The differences in living standards around the world are vast. In 1993, the average American had an income of about $25,000. In the same year, the average Mexican earned $7,000, and the average Nigerian earned $1,500. Not surprisingly, this large variation in average income is reflected in various measures of the quality of life. Changes in living standards over time are also large. In the United States, incomes have historically grown about 2 percent per year (after adjusting for changes in the cost of living). At this rate, average income doubles every 35 years. In some countries, economic growth has been even more rapid. In Japan, for instance, average income has doubled in the past 20 years, and in South Korea it has doubled in the past 10 years.
What explains these large differences in living standards among countries and over time The answer is surprisingly simple. Almost all variation in livin
A. modest
B. poor
C. meaningless
D. plentiful