金融英语试题- FECT-(2)

会计考友

　　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:
' ~+ J  J( y  E. a/ |1 J　　A. her immediate supervisor in writing.
  D' _+ r/ p, _( _1 K4 B　　B. her immediate supervisor orally.
  I6 V+ E0 @4 T" d　　C. the CEO of her firm in writing.
+ a2 W. E* Q+ d! l* A: R; R4 x　　D. everyone in the firm through a written memo.
  ~5 R: g4 C* P  S  F9 q# X　　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:
. |& S, [# M) q* y　　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.
9 Z0 H& |: A  ~) [; f$ e7 `　　III. receive written approval from his employer to provide these services.
$ w" H3 E! _, L0 ?0 l2 t0 ]  n; f4 y　　IV. receive written confirmation from the client acknowledging that the services are not being performed by the employer.
$ ^1 |% x2 J( h! X! J8 q9 N7 H　　A. I and II.
5 f& d( H5 F1 `( a4 o" v　　B. II and III.
+ [3 T8 \% y; F9 }　　C. I, II and IV.
1 I+ @6 D, a* \0 Z+ Q, ~　　D. I, II, III and IV.
! @$ c0 w" u# W9 J$ |9 D　　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.
' t. F: ^! J6 a5 ?/ F% X　　III.A supervisor should bring an inadequate compliance system to the attention of management and recommend corrective action.
0 q  m& A7 s( A- L　　IV. A supervisor should accept supervisory responsibility whether reasonable procedures are adopted or not.
& [) F* K2 ^, F　　A. I and III.
　　B. I, II and III.
　　C. II and III.
　　D. I, II, III and IV.
) X' H5 j% {4 I, \$ ^& U. O　　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.
5 C  v+ h: @6 e. D6 V% Y: w, k8 S　　C. inform her current clients in writing, get their permission, and discuss the offer with her employer.
9 S) Q: ]" c& T* ~& G4 a  h0 w　　D. inform her current clients in writing and get their permission.
　　key: 6. D 7. A 8. D 9.B 10.B