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:
3 J, {$ A1 q+ j+ s8 p* T q A. her immediate supervisor in writing.7 w6 z- K [0 K- Q' a% ]2 s2 Y5 I4 x
B. her immediate supervisor orally., |: O; G* Q3 V- K
C. the CEO of her firm in writing.
4 A/ V3 F0 W: g4 w, I D. everyone in the firm through a written memo.% H$ [* K( N' M* |. y+ P6 e6 ?
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:
1 M8 M2 B1 h+ W8 U* l; Q I. give the employer a written statement identifying the client, duration, and nature of the services.3 n: J# l3 w, n
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.% L& q5 d( R; k6 H( t- Z: g
III. receive written approval from his employer to provide these services.9 p0 } S a; }
IV. receive written confirmation from the client acknowledging that the services are not being performed by the employer.* p- Q) K% x4 x
A. I and II.9 \! T# j/ m; j- N
B. II and III.
7 |6 m" _* D/ O, S C. I, II and IV.
0 C* e9 [ m# L3 ], }5 o: `7 e1 H9 l D. I, II, III and IV.6 S Y8 _6 ]! z! d1 t4 |0 o4 o
9. Which of the following about an investment supervisor are TRUE:9 l% g( D6 n+ X6 Q: }% E: @
I. A supervisor is expected to know what constitutes an adequate compliance system.
! g3 h$ Q. Q& A1 g" o" k: I& v 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.& d, b4 L% J" ?% e1 @
III.A supervisor should bring an inadequate compliance system to the attention of management and recommend corrective action.
$ Z5 q! r& y3 q" _ IV. A supervisor should accept supervisory responsibility whether reasonable procedures are adopted or not.
8 l1 \- s6 _5 \7 s, } d A. I and III.
0 l& o- k; }3 [2 D* i: c# W. a; P B. I, II and III.9 a( @, E* g' U
C. II and III.
" _# ]' X G G* b D. I, II, III and IV.
* t" @" N# F- x6 k( Z( _7 o$ Z 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:0 g2 i% j S! ~ A
A. do nothing since this is a volunteer position.# `1 F" D# B4 n8 V, t1 P# {0 m
B. discuss the offer with her employer and her firm's compliance officer.. h0 t* L0 D1 n
C. inform her current clients in writing, get their permission, and discuss the offer with her employer.
$ [7 m9 h6 g& l: s0 s3 B) k D. inform her current clients in writing and get their permission.
, U9 i) w: W! h* A5 p8 a4 } key: 6. D 7. A 8. D 9.B 10.B |
发表于 2012-8-16 08:05:44
