What are the responsibilities of the members in reference to the CFA Institute?：Once accepted as a member:每年交述職報(bào)告和年費(fèi)but must not over promise the competency and future investment results.Case

How to identifying the actual investment client and voting proxy policies?：管理個(gè)人資產(chǎn)→資產(chǎn)所有人就是客戶”管理信托資產(chǎn)→信托的最終受益人才是客戶。要求公司的養(yǎng)老金管理人使用萬(wàn)科的養(yǎng)老金收購(gòu)本公司股票，以資本增值為目的的買入行為是合理的。養(yǎng)老金管理人認(rèn)為萬(wàn)科未被低估,

How to understand loyalty, prudence and care in duty to clients?：The client or prospective client permits disclosure of the information.（在法律允許或客戶同意的情況下可以披露）,members and candidates must comply with the law.（在某些情況下法律要求。

What they should pay attention to,when employees leaving employer?：

How to understand the guidance for Standards I–VII?：A.Promote financial integrity ad seek to prevent sand punish abuses in the financial markets,

How to understand the meaning of misrepresentation?：advertising,書面報(bào)告即使沒(méi)有發(fā)布也不行）”tablesstatisticsMay use other people’s work within the same firm without committing a violation. （同一公司的報(bào)告不用引用）

In analyzing investment, what should we do to making investment recommendations, and taking investment actions?：or action. （分析、投資或者提供建議要有合理、充分的基礎(chǔ)）,must not rely on that information. （外部數(shù)據(jù)懷疑就不能用）,issue indicates NO reasonable basis. （不能總是推薦所謂的熱門股票），并不代表有這樣的觀點(diǎn)）但整個(gè)研究過(guò)程是可靠的

How to deal with potential conflict of interest?：不能直接或間接和研究的結(jié)果掛鉤，Protect the integrity of opinions – unbiased opinion and adequate system.;

How to determine if an investment decision or investment proposal is suitable for clients?：作出投資決策或投資建議前，評(píng)估整個(gè)投資組合是否適合客戶。must only make investment recommendations or take investment actions that are consistent with the stated objectives and constraints of the portfolio. （如果投資前對(duì)投資目標(biāo)及限制進(jìn)行過(guò)約定。

How to distinguish Material from nonpublic information?：也不能促使他人使用重大非公開信息）“

How to understand “misconduct”?：integrity,or competence. （任何不誠(chéng)信的行為都是misconduct,or other disputes unrelated to professional ethics. （不能濫用該準(zhǔn)則來(lái)解決私人問(wèn)題）:is violation. （如果沒(méi)有做盡職調(diào)查就違反了misconduct準(zhǔn)則）,

How to understand the Code of ethics and trust in the investment profession?：I,Professionalism:II:IIIIVVVIVIIResponsibilities as a CFA member or candidate