CFA Level 1 备考 · 以题带学 · 每日一课
📖 正文
Standard VII(A) Conduct as Participants in CFA Institute Programs 规范了 CFA 会员和考生在参与 CFA Institute 项目（主要是 CFA 考试）过程中的行为。这个标准是职业道德准则的"自我守护"——它保护 CFA 称号的价值和考试制度的完整性。
VII(A) 禁止的行为分为几大类：
第一：考试作弊（Cheating）。这包括但不限于：在考试中抄袭他人答案、使用禁止的辅助工具（如未经批准的计算器、手机、笔记）、在考试期间与其他考生交流、以及将考试材料带出考场。注意——即使你"只是想帮朋友"，这也是违规。
第二：泄露考试内容（Sharing Exam Content）。你不能在考试后向他人透露具体的考试题目或答案。CFA Institute 非常重视这一禁令，因为考试内容的安全性是维护 CFA 称号价值的基础。"我记不清具体题目了"不是辩护理由——如果 CFA Institute 认定你泄露了实质性考试内容，就可以启动纪律处分程序。
第三：在 CFA Institute 调查中说谎或妨碍调查。如果在职业行为调查（PCS）中撒谎、提供伪造文件或阻挠调查，这会构成独立的严重违规。
第四：违反 CFA 考试的规则和协议，包括在注册时提供虚假信息。
🔑 关键定义
- 考试作弊（Cheating）：在考试中使用不当手段获取或提供答案
- 泄露考试内容（Sharing Exam Content）：将具体考题或答案透露给他人
- 职业行为调查（Professional Conduct Statement, PCS）：CFA Institute 对会员和考生的行为审查程序
- 考试材料（Exam Materials）：包括试题、答题卡、草稿纸、考场笔记等
- CFA Institute 项目（CFA Institute Programs）：包括 CFA 考试、CIPM 考试及其他 CFA Institute 管理或主办的考试
📝 今日练习
Q1. 考生 A 在 CFA Level 1 考试后将 5 道具体题目发到微信学习群中分享。这：
A) 是违规行为，因为泄露了考试内容 B) 不违规，如果只是与同学讨论学习 C) 不违规，只要不是为了商业目的
Q2. 考生 B 在考试中借用邻座的计算器。邻座的计算器中存有公式笔记。考生 B：
A) 没有违规，因为计算器是他借的 B) 违规，因为在考试中使用了含有不当辅助信息的设备 C) 没有违规，只要他只看公式不抄答案
Q3. CFA Institute 对考生 C 启动调查后，C 声称"不记得"相关事件，但实际记得很清楚。此行为：
A) 不违规，因为只是口头回答 B) 违反了 VII(A)，在调查中不诚实 C) 不违规，前提是没有提供伪造的书面文件
查看答案
**Q1: A** — 解析：VII(A) 明确禁止泄露考试内容。无论是否为了商业目的、是否在朋友间交流，具体考题的泄露都构成违规。"学习讨论"不构成豁免理由。 **Q2: B** — 解析：考试中使用的计算器必须符合 CFA Institute 的规定（无存储文本功能等）。使用存有公式笔记的计算器，无论是谁的，只要在考试中参考了这些信息，就构成作弊行为。 **Q3: B** — 解析：在 CFA Institute 的调查中撒谎（无论是口头还是书面）都违反 VII(A)。不诚实本身就是违规，不需要同时提供伪造文件。阻碍调查的行为会被独立处罚。📌 复习要点
- VII(A) 保护 CFA 项目完整性，禁止作弊和泄露考题
- 泄露考题不以商业目的为前提：分享即违规
- 在调查中撒谎 → 独立的严重违规
- 考试材料和设备必须符合 CFA Institute 规定
- "只是帮朋友/讨论学习"不构成豁免理由
CFA Level 1 Exam Prep · Question-Driven Learning · Daily Lesson
📖 Reading
Standard VII(A): Conduct as Participants in CFA Institute Programs governs the behavior of CFA members and candidates when participating in CFA Institute programs (primarily the CFA exams). This Standard serves as the "self-guardian" of the Code of Ethics—it protects the value of the CFA designation and the integrity of the examination system.
VII(A) prohibits several categories of conduct:
Category 1: Cheating. This includes but is not limited to: copying answers from others during the exam, using prohibited aids (such as unapproved calculators, mobile phones, notes), communicating with other candidates during the exam, and removing exam materials from the testing room. Note—even if you "just wanted to help a friend," it remains a violation.
Category 2: Sharing Exam Content. You may not disclose specific exam questions or answers to others after the exam. CFA Institute takes this prohibition extremely seriously because the security of exam content is foundational to preserving the value of the CFA designation. "I don't remember the specific questions" is not a defense—if CFA Institute determines you shared substantive exam content, disciplinary proceedings may be initiated.
Category 3: Lying to or obstructing a CFA Institute investigation. If you lie, provide forged documents, or obstruct an investigation during a Professional Conduct Statement (PCS) inquiry, this constitutes an independent serious violation.
Category 4: Violating CFA exam rules and agreements, including providing false information during registration.
🔑 Key Definitions
- Cheating: Using improper means to obtain or provide answers during an exam
- Sharing Exam Content: Disclosing specific exam questions or answers to others
- Professional Conduct Statement (PCS): CFA Institute's review process for member and candidate conduct
- Exam Materials: Includes exam questions, answer sheets, scratch paper, testing room notes, etc.
- CFA Institute Programs: Includes the CFA exam, CIPM exam, and other exams administered or sponsored by CFA Institute
📝 Practice Questions
Q1. Candidate A, after the CFA Level 1 exam, shares 5 specific exam questions in a WeChat study group. This:
A) Is a violation, because exam content was shared B) Is not a violation, if only discussing studies with classmates C) Is not a violation, as long as it was not for commercial purposes
Q2. Candidate B borrows a neighbor's calculator during the exam. The neighbor's calculator has formula notes stored. Candidate B:
A) Did not violate, because the calculator was borrowed B) Violated, because he used a device containing improper aids during the exam C) Did not violate, as long as he only looked at formulas and not answers
Q3. After CFA Institute initiates an investigation of Candidate C, C claims he "does not remember" the relevant events, though he actually remembers clearly. This conduct:
A) Is not a violation, because it was only a verbal response B) Violates VII(A), dishonesty during an investigation C) Is not a violation, provided no forged written documents were submitted
View Answers
**Q1: A** — Explanation: VII(A) explicitly prohibits sharing exam content. Regardless of commercial purpose or whether shared among friends, disclosing specific exam questions constitutes a violation. "Study discussion" does not serve as an exemption. **Q2: B** — Explanation: Calculators used during the exam must comply with CFA Institute regulations (no text storage capability, etc.). Using a calculator with stored formula notes, regardless of whose it is, constitutes cheating if those materials were referenced during the exam. **Q3: B** — Explanation: Lying during a CFA Institute investigation (whether oral or written) violates VII(A). Dishonesty is itself a violation; forged documents need not also be present. Obstructing an investigation is independently sanctionable.📌 Key Takeaways
- VII(A) protects CFA program integrity; prohibits cheating and sharing exam content
- Sharing exam content is a violation regardless of commercial purpose
- Lying during an investigation → independent serious violation
- Exam materials and devices must comply with CFA Institute regulations
- "Just helping a friend / study discussion" does not constitute an exemption