CFA历年考题试题（3）

　　1. Maintain copies of materials that were relied on in preparing the research report.

　　2. Attribute quotations (and projections, tables, statistics, models, and methodologies) used other than recognized financial and statistical reporting services.

　　3. Attribute paraphrases and summaries of material prepared by others.

　　2-III.: Standards of Professional Conduct: III. Relationships and Responsibilities to the Employer

　　A.: Inform your Employer of the Code and Standards

　　III(A.1)

　　Members shall inform their employer in writing, through their direct supervisor, that they are obligated to comply with the Code and Standards and are subject to disciplinary sanctions for violations thereof.

　　III(A.2)

　　Members shall deliver a copy of the Code and Standards to their employer if the employer does not have a copy.

　　Compliance: Members should notify their supervisor in writing of the Code and Standards and the member’s responsibility to follow them. The member should also suggest that the employers adopt the Code and Standards and disseminate it throughout the firm. If the employer has publicly acknowledged, in writing, that they have adopted AIMR’s Code and Standards as part of the firm’s policies then the member need not give the formal written notification as required by III(A).

　　B.: Duty to Employer

　　Standard: Members shall not undertake any independent practice that could result in compensation or other benefit in competition with their employer unless they obtain written consent from both their employer and the persons or entities for whom they undertake independent practice.

　　1. Members who plan to engage in independent practice for compensation should provide written statements to their employer describing the types of services they will perform, the expected duration of the services, and the compensation they will receive.

　　2. Members should also disclose to their prospective clients the identity of their employer, the fact that they are performing independently of the employer, and what their employer would charge for similar services.

　　3. Members seeking new employment should not contact existing clients or potential clients prior to leaving their employer or take records/files to their new employer without the written permission of the previous employer.