Câu hỏi về tiêu chuẩn CFA

Which standard requires CFA members and candidates to understand and comply with all applicable laws, rules, and regulations?

• Standard I(B) - Independence and Objectivity

• Standard I(C) - Misrepresentation

• Standard I(A) - Knowledge of the Law

• Standard II(A) - Material Nonpublic Information

Which of the following actions is considered a violation of Standard I(D) - Misconduct?

• Using non-public information to trade securities

• Providing misleading investment analysis information to clients

• Accepting gifts that may impair objectivity

• Engaging in any professional conduct involving dishonesty, fraud, or deceit

Which standard requires CFA members and candidates to use care and reasonable judgment to achieve and maintain independence and objectivity in their professional activities?

• Standard I(A) - Knowledge of the Law

• Standard I(B) - Independence and Objectivity

• Standard II(A) - Material Nonpublic Information

• Standard III(A) - Loyalty, Prudence, and Care

Which action violates Standard II(A) - Material Nonpublic Information?

• Analyzing public information to make investment recommendations

• Sharing material nonpublic information with colleagues in the company

• Acting or causing others to act on material nonpublic information

• Maintaining the confidentiality of client information

Which standard prohibits CFA members and candidates from engaging in practices that distort prices or inflate trading volume with the intent to mislead the market?

• Standard I(D) - Misconduct

• Standard II(B) - Market Manipulation

• Standard III(A) - Loyalty, Prudence, and Care

• Standard III(B) - Fair Dealing

Which standard states that CFA members and candidates have a duty of loyalty to their clients and must act with reasonable care and exercise prudent judgment?

• Standard I(B) - Independence and Objectivity

• Standard II(A) - Material Nonpublic Information

• Standard III(A) - Loyalty, Prudence, and Care

• Standard III(B) - Fair Dealing

Which action violates Standard III(B) - Fair Dealing?

• Providing different investment recommendations to different clients based on their needs and objectives

• Prioritizing investment transactions for a CFA member's personal account over similar transactions for clients

• Disclosing investment performance information to all clients fairly and accurately

• Maintaining the confidentiality of client information

Which standard requires CFA members and candidates to avoid any misrepresentation related to investment analysis, recommendations, actions, or other professional activities?

• Standard I(A) - Knowledge of the Law

• Standard I(B) - Independence and Objectivity

• Standard I(C) - Misrepresentation

• Standard I(D) - Misconduct

Which of the following situations may violate Standard I(B) - Independence and Objectivity?

• A CFA member receives a commission from a broker for referring clients

• A CFA member discloses non-public material information to a friend

• A CFA member does not disclose a potential conflict of interest to a client

• A CFA member complies with all applicable laws and regulations

Which standard requires CFA members and candidates to place the interests of clients above the interests of their employers or their own interests?

• Standard II(B) - Market Manipulation

• Standard III(A) - Loyalty, Prudence, and Care

• Standard III(B) - Fair Dealing

• Standard I(D) - Misconduct