CFA历年考题试题（9-1）

　　Compliance: Misrepresentation about the investment performance of the firm can be avoided if the member maintains data about the firm’s investment performance in written form. Investment accounts should be combined into composites by investment class and risk groups.

　　3: Standards of Practice Handbook

　　a: Demonstrate a thorough knowledge of the Standards of Professional Conduct by recognizing and applying the Standards to specific situations.

　　This is an application of many different ethics concepts to different scenarios. After having learned the ethics material in earlier learning outcomes you will be able to apply these concepts to various scenarios as you take the quizzes.

　　b: Distinguish between conduct that conforms to the Code and the Standards and conduct that violates the Code and the Standards.

　　This requires looking at different scenarios and possibly applying several ethics concepts to each scenario. After you learn and understand the ethics concepts you will be able to apply them to specific situations through the quizzes.

　　4: AIMR Performance Presentation Standards Handbook

　　a: Explain the goals of the AIMR-PPS Standards.

　　The Standards have been designed to meet the following goals:

　　· To achieve greater uniformity and comparability among performance presentations.

　　· To improve the service offered to investment management clients.

　　· To enhance the professionalism of the industry.

　　· To bolster the notion of self-regulation.

　　Note: The Presentation Standards are intended primarily to be performance presentation standards,not performance measurement standards. Portions of the AIMR-PPS are required while some are recommended. AIMR strongly encourages the adoption of both required and recommended components of the Standards. Also, performance presentations may have to provide more than the minimum requirements of the AIMR-PPS to meet the full intent of the Standards.

　　b: Identify the parties affected by the AIMR-PPS standards.