新用戶掃碼下載
掃碼下載APP
及時接收最新考試資訊及
備考信息
"morality" exercise: The CFA Designation 、CFA Program
學習是一個不斷積累的過程，每天學習一點，每天進步一點！為了幫助大家更高效地備考2021年CFA考試，正保會計網校每日為大家上新CFA習題供大家練習。讓網校與您一起高效備考2021年CFA考試，夢想成真！
Questions 1:
Bob White is a new CFA charterholder and he is updating his resume and company biography (bio) to reflect this accomplishment. In his bio, he states that he successfully passed all three CFA exams in three consecutive years. On his resume he adds the following line: “CFA, 2013, CFA Society of Pittsburgh”. Are either his bio or his resume in violation of the Standards regarding referencing the CFA designation and program?
A、 No.
B、 Yes, his resume is incorrect.
C 、Yes, both his bio and his resume are in violation of the Standards.
Questions 2:
Kim Klausner, CFA, monitors several hundred employees as head of compliance for a large investment advisory firm. Klausner has always ensured that his company’s compliance program met or exceeded those of its competitors. Klausner, who is going on a long vacation, has delegated his supervisory responsibilities to Sue Chang. Klausner informs Chang that her responsibilities include detecting and preventing violations of any capital market rules and regulations, and the CFA Institute Code and Standards. Klausner least likely violated the CFA Institute Standards of Professional Conduct by failing to instruct Chang to also consider:
A、 firm policies.
B 、legal restrictions.
C、 industry standards.
View answer resolution
【Answer to question 1】 B
【analysis】
B is correct because his resume should read CFA, 2013, CFA Institute. The resume is incorrect because it lists the CFA Society of Pittsburgh instead of the CFA Institute as the organization associated with the CFA designation.
A is incorrect because his resume is wrong.
C is incorrect because stating that he passed the three exams in three years is simply a statement of fact (assuming it is true) and permissible.
【Answer to question 2】C
【analysis】
C is correct because the requirement under Standard IV(C)–Responsibilities of Supervisors does not include any reference to industry standards. Standard IV(C) requires supervisors to instruct those subordinate to whom supervision is delegated about detection methods to prevent violations of laws, rules, regulations, firm policies, and the CFA Institute Code and Standards.
A is incorrect because the requirement under Standard IV(C)–Responsibilities of Supervisors includes detection of any violation of firm policies.
B is incorrect because a supervisor’s responsibilities under Standard IV(C)– Responsibilities of Supervisors include instructing those subordinates to whom supervision is delegated about methods to prevent and detect violations of laws, rules, regulations, firm policies, and the Code and Standards. Laws would also include legal restrictions.
成功=時間+方法，自制力是這個等式的保障。世上無天才，高手都是來自刻苦的練習。而人們經常只看到“牛人”閃耀的成績，其成績背后無比寂寞的勤奮。小編相信，每天都在勤奮練習，即使是一點點的進步，大家一定可以成為人人稱贊的“牛人”。
學員討論（0）
推薦閱讀
新用戶掃碼下載
京公網安備 11010802044457號
