CFA一级职业伦理真题精选
备考必备 | 2015-10-21
CFA一级职业伦理1：Jason, CFA, is a portfolio manager for high-net-worth individuals at ABC Investment Bank. ABC holds a large number of shares in a manufacture of baby care products, Bason Inc. When ABC underwrote the Bason's recent IPO, it obtained the itsshares. The investment banking department asked Jason to recommend Bason to her clients, who currently do not hold any shares of Bason in their portfolios. Jason does not consider the shares a buy at the IPO price or at current price levels although she has a favorable opinion of Bason. What is the most appropriate action for Jason based on the CFA Institute Standards of Professional Conduct?
A. ignore the request.
B. follow the request as soon as the share price declines.
C. recommend the shares after additional analysis.
Solution: A
CFA一级职业伦理2：Green Capital, a regional investment bank, acts as a market maker on an over-the-counter exchange. Additionally, Green also trades for its own book, as well as engaging in risk arbitrage trading. Staff members are allowed to trade in shares once clients and the company have traded. Green recently obtained material nonpublic information regarding a company’s planned reverse takeover of a publicly listed competitor. Which of following type of trading for the shares of the company should Green least likely suspend in order to be in compliance with the CFA Institute Code of Ethics and Standards of Professional Conduct?
A. Flights on a private airplane to the remote mining sites in China.
B. Ground transportation to National Park.
C. Economy class round trip ticket from London to ShanghaiJohannesburg.
Solution: A
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