注册金融分析师道德规范与职业行为准则(一).doc

道?德?规?范?与?职?业?行?为?准?则?(一?)单?项?选?择?题?1、?'&Poor': ? ?. ? ?Ⅱ?concerningtheobligationstothecapitalmarkets. ? ?Ⅴ?、?WillLambert,CFA,,whichofthefollowingstatementsaboutdisclosureofconflictsisnotrequired?Lambertwouldnotneedtodisclosetohisemployer: ? ?'sstock. ? ?. ? ?'、?WhichofthefollowingisNOTanobjectiveoftheGlobalInvestmentPerformanceStandards ?GIPS)? ? ?,recordkeeping,marketing,andpresentation. ?,petitionamonginvestmentfirmsforallmarketswithoutcreatingbarrierstoentryfornewfirms. ?、?Ananalystroutinelyhastheopportunitytoofferhisclientstheopportunitytopurchase"hotnewissues."Hetellshisclientsthathewilldistributeeachissueequallyamongthoseinterested,. ?WithrespecttoStandardⅥ?B.,PriorityofTransactions,this: ? ?. ? ?. ? ?'、?pliancewithGlobalInvestmentPerformanceStandards(GIPS)? ? ?. ? ?plywithallrequirementsandbeawareofupdatesandguidancestatements. ? ?