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:" k8 t& z; k" l4 r5 S
A. her immediate supervisor in writing.6 x+ c4 N ^ t/ K1 H( u
B. her immediate supervisor orally.
$ a! `/ T4 S. l C. the CEO of her firm in writing.' N( }3 h9 o+ E2 P- z" e, S
D. everyone in the firm through a written memo.
! v4 {4 F# y& m4 {+ k' F 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:; V- @) c% N9 f8 G: X
I. give the employer a written statement identifying the client, duration, and nature of the services.; b2 e& u R/ d" k4 x* ^% E% `
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.
8 [, i8 s0 n4 k' ~7 g; S6 q III. receive written approval from his employer to provide these services.! z' `! y; a) D2 E; V
IV. receive written confirmation from the client acknowledging that the services are not being performed by the employer.: O$ e/ f. q, h1 Y
A. I and II.& P2 L+ J1 T# L6 H7 R- u, F
B. II and III.) E& n; \( j9 _
C. I, II and IV.
1 Q+ T/ ~' S; B$ T- N# W D. I, II, III and IV.& ~+ X7 n9 R% R) d4 s2 P1 ^9 r
9. Which of the following about an investment supervisor are TRUE:* X/ i& T* O( S7 ^
I. A supervisor is expected to know what constitutes an adequate compliance system.
% e5 z# Z! X+ w7 Q3 ] II. A supervisor is responsible for instructing those to whom he has delegated authority about methods to detect and prevent violations of the law and standards.
1 Q' c9 i* q0 j+ V III.A supervisor should bring an inadequate compliance system to the attention of management and recommend corrective action.; b Q9 ` { W8 A
IV. A supervisor should accept supervisory responsibility whether reasonable procedures are adopted or not.. D! l% {! G; i* `4 f6 U% O
A. I and III.2 Y. m4 q( o: \) R5 a9 r% L% ~, b
B. I, II and III. M) \. g( p% \
C. II and III.
! [8 M7 o7 m5 H0 ~ D. I, II, III and IV.
2 ^0 [5 A$ p& C' ^* j1 K4 C d 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:* W$ P8 V8 b* q/ B3 _
A. do nothing since this is a volunteer position.
0 s$ E5 s6 l, F; n2 ?3 F5 w B. discuss the offer with her employer and her firm's compliance officer.- y% O6 Z* J- d( G6 L6 k0 y" C) ]* G |
C. inform her current clients in writing, get their permission, and discuss the offer with her employer.
5 I# K! I" u. _ D. inform her current clients in writing and get their permission.
( ~# i. T/ J, P* X3 s/ f# m6 _ key: 6. D 7. A 8. D 9.B 10.B |
发表于 2012-8-16 08:05:44
