What is a The well-functioning market ？：What is a The well-functioning market？

Which ones Factors Affecting a Market’s Efficiency？：Which ones Factors Affecting a Market’s Efficiency？

Natural Monopoly in a Regulated Pricing Environment：monopoly equilibrium and the competitive equilibrium.

Examination of a Company’s Financial Position：comparing the resources controlled by the company assets in relation to the claims against those resources liabilities and equity.

Examination of a Company’s Performance：generally referred to as solvency.

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 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(hù)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?：

In what ways does fair dealing manifest itself?：by e‐mail or telephone. （無(wú)需對(duì)客戶(hù)完全一樣），if not disadvantage or negatively affect other clients. Should be disclosed to clients andavailable to everyone should not be selective. （可以對(duì)客戶(hù)進(jìn)行分級(jí),

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(mén)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

What should members and candidates do when communicating with client?：should notify clients that additional information and analyses are available upon request. （可以提供簡(jiǎn)易版報(bào)告:需要的話(huà)可以提供詳細(xì)版）:Comment,Comment

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.;