CFA一级职业伦理试题精选
备考必备 | 2015-10-24
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CFA一级职业伦理1：Ricky, CFA, ananalyst for a hedge fund, is attending a key industry conference for themicroelectronics industry. At lunch, Ricky sits next to a table of conferenceattendees and realizes the group includes the president of a publicly tradedcompany in the microelectronics industry, ABC, a company Ricky follows. Duringthe lunch, Ricky overhears that the president complaining ABC factories areexperiencing a production delay problem. The president also mentions that thedelay will reduce ABC’s earnings by more than 20% during the next year if notsolved. Ricky relays this information to the portfolio manager he reports to atthe hedge fund and explains that he recommended ABC as a buy in a recentresearch report. The manager asks Ricky to write up a negative report on ABC sothe fund can sell the stock. According to the CFA Institute Standards ofProfessional Conduct, Ricky should least likely:
A. revise hisresearch report.
B. request theportfolio manager not act on the information.
C. leave his researchreport as it is.
Solution: A
CFA一级职业伦理2：Charlse, a Level I CFA candidate,defaulted on a bank loan used to pay for education fee as her unexpected highwedding cost. A micro finance loan company not only lent her money to pay offthe tuition loan in full, including penalties and interest but also extendedfurther credit to pay for her parents' outstanding medical bills.Unfortunately, Charlse had to take extensive time away from work to deal withthe issues as her parents' health problems escalated. As a result, she wasfired and consequently defaulted on the second loan. Charlse decided to filefor personal bankruptcy because she was no longer employed. Do the loandefaults leading up to Charlse's bankruptcy most likely violate Standard I(D):Misconduct?
A . Yes, with regard to the second loandefault.
B . No.
C . Yes, with regard to the first loandefault.
Solution:B
CFA一级职业伦理3：Which one of thefollowing is best policy for an investment banking department of a brokeragefirm that often receives material nonpublic information of considerable value in advising the firm'sbrokerage clients, in order to conform to the Code and Standards?
A. Permanentlyprohibit both "buy" and "sell" recommendations of thestocks of clients of the investment banking department.
B. Establish physicaland informational barriers within the firm to prevent the exchange ofinformation between the investment banking and brokerage operations.
C. Monitor theexchange of information between the investment banking department and thebrokerage operation.
Solution: B
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相关标签 CFA三级 CFA二级 CFA一级
