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

What are the ethics and trust in the investment profession？：Global investment performance standards（GIPS）= 比例低，也并非所有的不道德都是違法君子有所不為的決策是更好的決策更符合stakeholder利益的決策

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. （可以提供簡易版報(bào)告:需要的話可以提供詳細(xì)版）:Comment,Comment

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. （如果投資前對投資目標(biāo)及限制進(jìn)行過約定。

What laws,rules, and regulations should be known by members and candidates?：rules，必須遵守直接相關(guān)的法律），but this may be advisable in some circumstances and required by law in others. （沒有要求一定要將違法行為報(bào)告政府）也會被認(rèn)為是參與違法行為）