
CFA Institute Standards Flashcard
Flashcard
•
Business
•
University
•
Practice Problem
•
Hard
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12 questions
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1.
FLASHCARD QUESTION
Front
Has Chapman violated the Standard relating to fair dealing?
Back
Yes, by offering the premium service only to clients he believes would benefit from it
2.
FLASHCARD QUESTION
Front
Has Michael Cane, CFA, violated the Standard relating to loyalty, prudence and care regarding his proxy voting policy?
Back
Yes, only because the proxy voting policy is disclosed to his clients only upon request.
3.
FLASHCARD QUESTION
Front
Who has violated the Standards regarding referral fee arrangements at Global Investment Inc. when David Jacobs informs clients without an estimated dollar value and Megan Amari discloses details only after agreements are signed?
Back
Both Amari and Jacobs
4.
FLASHCARD QUESTION
Front
Has Manpreet Grewal, CFA, violated the Standards by not disclosing his arrangement of teaching underprivileged children for a nominal fee?
Back
No
5.
FLASHCARD QUESTION
Front
Smith is a financial analyst with XYZ Brokerage Firm preparing a purchase recommendation on JNI Corporation. Which situation represents a conflict of interest for Smith that must be disclosed? Options: Smith frequently purchases items produced by JNI. XYZ holds for its own account a substantial common stock position in JNI. Smith’s brother-in-law is a supplier to JNI.
Back
XYZ holds for its own account a substantial common stock position in JNI.
6.
FLASHCARD QUESTION
Front
Did Quinn violate the Code and Standards with his resume update regarding his eligibility for the CFA charter?
Back
Quinn violated the Code and Standards by incorrectly stating that he is eligible for the CFA charter.
7.
FLASHCARD QUESTION
Front
According to the guidance provided by the Standards, which of the following is not among the recommended procedures for compliance with the Standard relating to independence and objectivity?
Create a restricted list,
Prohibit the acceptance of gifts,
Appoint a senior compliance officer with oversight responsibilities
Back
Prohibit the acceptance of gifts
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