2008 CFA Level 1 － Sample 样题(2)－Q9 black, class

bingning

9、Jiro Sato, CFA, deputy treasurer for May College, manages the Student Scholarship Trust. Sato issued a Request for Proposals (RFP) for domestic equity managers. Pamela Peters, CFA, a good friend of Sato, introduces him to representatives from Capital Investments, who submitted a proposal. Sato selected Capital as a manager based on the firm's excellent performance record. Shortly after the selection, Peters, who had outstanding performance as an equity manager with another firm, accepted a lucrative job with Capital. Have Sato and Peters, respectively, violated any CFA Institute Standards of Professional Conduct?

	Sato	Peters
A.	No	No
B.	No	Yes
C.	Yes	No
D.	Yes	Yes

A. Answer A

B. Answer B

C. Answer C

D. Answer D

[此贴子已经被作者于2008-11-7 13:50:35编辑过]

bingning

9、Jiro Sato, CFA, deputy treasurer for May College, manages the Student Scholarship Trust. Sato issued a Request for Proposals (RFP) for domestic equity managers. Pamela Peters, CFA, a good friend of Sato, introduces him to representatives from Capital Investments, who submitted a proposal. Sato selected Capital as a manager based on the firm's excellent performance record. Shortly after the selection, Peters, who had outstanding performance as an equity manager with another firm, accepted a lucrative job with Capital. Have Sato and Peters, respectively, violated any CFA Institute Standards of Professional Conduct?

	Sato	Peters
A.	No	No
B.	No	Yes
C.	Yes	No
D.	Yes	Yes

A. Answer A

B. Answer B

C. Answer C

D. Answer D

  
Correct answer = A

Standards of Practice Handbook, 9th edition (CFA Institute, 2005), pp. 15-20, 113, 127
Standards I-VII
2008 Modular Level I, Vol. 1, pp. 21-26, 89, 99
Study Session 1-2-a
demonstrate a thorough knowledge of the Code of Ethics and Standards of Professional Conduct by applying the Code and Standards to specific situations presenting multiple issues of questionable professional conduct
Members should use reasonable care and judgment to maintain independence and objectivity. There is no indication of inappropriate behavior in selection of the equity manager or in the acceptance of employment with that manager; both decisions were based on the excellent performance records of the manager and the member, respectively. 

fatiger

k

oleander

b

Riverview

thanks

刀剑如梦

非常感谢！

isaisaisa

a

robinlu

A

leeh

up

tannyyu

ddsf