
Chap 1.1 (done)
Authored by K62.FTU Anh
English
12th Grade
Used 1+ times

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1.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
Which of the following is a CORRECT statement of a member's duty under the Code and Standards?
In the absence of specific applicable law or other regulatory requirements, the Code and Standards govern the member's actions.
A member who trades securities in a foreign securities market where no applicable local laws or stock exchange rules regulate the use of material nonpublic information may take investment action based on this information.
A member is required to comply only with applicable local laws, rules, regulations, or customs even though the CFA Institute Code and Standards may impose a higher degree of responsibility or a higher duty on the member.
2.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
Which of the following is NOT expressly prohibited by Standard I(C), Misrepresentation?
misrepresenting a member's academic or professional credentials.
misrepresenting the services a member is capable of performing.
providing information on guaranteed investment products.
3.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
A CFA charterholder who comes to work intoxicated is:
not in violation of the standards.
in violation of Standard I(D) concerning professional misconduct.
in violation of Standard IV(A) concerning duties to employer.
4.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
Sometimes a CFA Institute member simply feels a law has been violated by his firm, and sometimes the member knows a law has been violated. Which of the following pairs of guidelines is CORRECT with respect to the first step a member should take in each case? The member should first contact:
the firm's counsel if he feels a law has been violated and contact his supervisor if he knows a law has been violated.
the firm's counsel if he feels a law has been violated and the SEC if he knows a law has been violated.
his supervisor in the firm if he feels a law has been violated and contact the firm's counsel if he knows a law has been violated.
5.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
In order to comply with the CFA Institute Standards, an analyst should:
use outside research only after verifying its accuracy.
use only his own research in making investment recommendations, because anything else would violate Standard I(B), Independence and Objectivity.
use only his company's research when making investment recommendations and use outside research for reports and analysis on stocks.
6.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
Nicholas Brynne, CFA, is a fixed-income analyst who trades in mortgage-backed securities (MBS). The MBS industry has seen sweeping regulatory changes since Brynne took his current position, and he now feels his understanding of applicable laws and regulatory standards is dated. Brynne must:
rely on his firm's policies and procedures for guidance on legal and regulatory standards.
have all trades reviewed by his compliance department until he has obtained an expert level of knowledge in compliance.
update his understanding of applicable laws and regulatory standards relating to his position.
7.
MULTIPLE CHOICE QUESTION
30 sec • 1 pt
Her actions are a violation of the standard concerning misrepresentation, because she promised something she knew the firm could not deliver.
Her actions are a violation of the Standards only if prosecution results in a felony conviction.
Her actions are a violation of the standard concerning professional misconduct because she deceived her clients.
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