首页 | 学习中心 | 注册 登录
12
返回列表 发帖
1215

UID
152243 
帖子
3978 
主题
858 
注册时间
2009-12-15 
最后登录
2011-4-15 
11# 跳转到 »
发表于 2011-2-24 14:05 | 只看该作者

An investment advisor takes a trip for which his firm will pay the expenses. Upon his return he alters some of the numbers on restaurant receipts to inflate the expenses by $64. Is this a violation of Standard I(D)?

A)
 No, if such a crime carries less than a one-year prison term.
B)
 Yes, because the amount involved is over $50.
C)
 Yes, because it reflects adversely on the charterholder’s professional reputation.

Professional conduct involving dishonesty, fraud, or deceit is a direct violation of Standard I(D), Misconduct.

TOP

1215

UID
152243 
帖子
3978 
主题
858 
注册时间
2009-12-15 
最后登录
2011-4-15 
12#
发表于 2011-2-24 14:06 | 只看该作者

All of the following are violations of Standard I(D), Misconduct, EXCEPT:

A)
 conviction of a crime involving fraud.
B)
 conviction of a misdemeanor involving civil disobedience in support of one’s personal beliefs.
C)
 any conduct that undermines confidence that the CFA charter represents a level of achievement based on merit and ethical conduct.

The Code and Standards do not focus on personal conduct as long as the conduct does not reflect poorly on one’s professional reputation, integrity, or competence.

TOP

luqian55

UID
118990 
帖子
774 
主题
1 
注册时间
2008-12-31 
最后登录
2012-9-5 
13#
发表于 2011-9-28 15:03 | 只看该作者
thanks a lot

TOP

12
返回列表