金融英语试题- FECT-(2)
7. As a CFA candidate, to fulfill the requirement of complying with the Code of Ethics and Standards of Professional Conduct, a candidate must tell:A. her immediate supervisor in writing.
B. her immediate supervisor orally.
C. the CEO of her firm in writing.
D. everyone in the firm through a written memo.
8. When performing for compensation independent service similar to services provided by one's employer, a financial analyst should, according to Standard IIIB, Duty to employer:
I. give the employer a written statement identifying the client, duration, and nature of the services.
II. provide, in writing to client, a statement that the services are being performed independently from the employer, and the employer’s charge for these services.
III. receive written approval from his employer to provide these services.
IV. receive written confirmation from the client acknowledging that the services are not being performed by the employer.
A. I and II.
B. II and III.
C. I, II and IV.
D. I, II, III and IV.
9. Which of the following about an investment supervisor are TRUE:
I. A supervisor is expected to know what constitutes an adequate compliance system.
II. A supervisor is responsible for instructing those to whom he has delegated authority about methods to detect and prevent violations of the law and standards.
III.A supervisor should bring an inadequate compliance system to the attention of management and recommend corrective action.
IV. A supervisor should accept supervisory responsibility whether reasonable procedures are adopted or not.
A. I and III.
B. I, II and III.
C. II and III.
D. I, II, III and IV.
10. Connie works for a small money management firm that specializes in pension accounts. Recently, a friend asked her to act as a volunteer manager for the social service pension fund. She should:
A. do nothing since this is a volunteer position.
B. discuss the offer with her employer and her firm's compliance officer.
C. inform her current clients in writing, get their permission, and discuss the offer with her employer.
D. inform her current clients in writing and get their permission.
key: 6. D 7. A 8. D 9.B 10.B
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