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:每年交述职报告和年费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.（在法律允许或客户同意的情况下可以披露）,members and candidates must comply with the law.（在某些情况下法律要求。

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

In what ways does fair dealing manifest itself?：by e‐mail or telephone. （无需对客户完全一样），if not disadvantage or negatively affect other clients. Should be disclosed to clients andavailable to everyone should not be selective. （可以对客户进行分级,

In analyzing investment, what should we do to making investment recommendations, and taking investment actions?：or action. （分析、投资或者提供建议要有合理、充分的基础）,must not rely on that information. （外部数据怀疑就不能用）,issue indicates NO reasonable basis. （不能总是推荐所谓的热门股票），并不代表有这样的观点）但整个研究过程是可靠的

What should members and candidates do when communicating with client?：should notify clients that additional information and analyses are available upon request. （可以提供简易版报告:需要的话可以提供详细版）:Comment,Comment

How to deal with potential conflict of interest?：不能直接或间接和研究的结果挂钩，Protect the integrity of opinions – unbiased opinion and adequate system.;