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CFA模拟题。1．Vishal Chandarana, an unemployed research analyst, recently registered for the CFA Level Ⅰexam. After two months of intense interviewing, he accepts a job with a stock brokerage company in a different region of the country. Chandarana posts on a blog how being a CFA candidate really helped him get a job. He also notes how relieved he was when his new employer did not ask him about being fired from his former employer.
Which CFA Institute Standards of Professional Conduct did Chandarana least likely violate?
A．Loyalty to Employers
B．Reference to CFA Institute, the CFA Designation, and the CFA Program
C．Misconduct
【答案】B
【解析】There is no evidence Chandarana violated Standard Ⅶ(B)-Reference to CFA Institute, the CFA Designation, and the CFA Program with regard to his being a CFA candidate. Specifically, Chandarana does not overstate his competency or imply he will achieve superior performance as a result of his CFA designation. It does appear, however, Chandarana did not act with integrity when he hid information that could potentially harm his new employer's reputation, thus violating Standard I(D)-Misconduct and Standard Ⅳ(A)-Loyalty.
CFA Level Ⅰ
"Guidance for Standards I-VII"
Standard VIl(B)-Reference to CFA Institute, the CFA Designation, and the CFA Program, Standard I(D)-Professionalism, Standard IV(A)-Duty to Employers.
2．David Donnigan enrolled to take the Level ⅠI CFA examination in the current year, but he did not take the exam. Donnigan advised his employer that he passed Level Ⅱ. Subsequently, he registered to take the Level Ⅱ exam the next year. Which CFA Institute Standards of Professional Conduct did Donnigan least likely violate? The standard related to:
A．referencing candidacy in the CFA Program
B．dutyto employer
C．professional misconduct
【答案】A
【解析】Because he registered to take the exam in the next year, Donnigan still qualifies to state he is a candidate in the CFA Program. He would not, however, be authorized to reference that he is a LevelⅢcandidate and, if asked, would need to specifiy that he is a Level Ⅱcandidate.
CFA Level Ⅰ
"Guidance for Standards Ⅰ-Ⅶ,"
CFA Institute Standard Ⅰ(D), Standard Ⅳ(A)
3．lan O'Sullivan, CFA, is the owner and sole employee of two companies, a public relations firm and a financial research firm. The public relations firm entered into a contract with Mallory Enterprises to provide public relations services, with O'Sullivan receiving 40,000 shares of Mallory stock in payment for his services. Over the next 10 days, the public relations firm issued several press releases that discussed Mallory's excellent growth prospects. O'Sullivan, through his financial research firm, also published a research report recommending Mallory stock as a "buy." According to the CFA Institute Standards of Professional Conduct, O'Sullivan is most likely required to disclose his ownership of Mallory stock in:
A．the press releases only
B．the research report only
C．both the press release and the research report
【答案】C
【解析】Members should disclose all matters that reasonably could be expected to impair the member's objectivity as outlined in Standard Ⅰ(B), and Standard Ⅵ(A).
CFA Level Ⅰ
"Guidance for Standards Ⅰ-Ⅶ,"
CFA Institute Standard Ⅰ(B), Standard Ⅵ(A)
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