Q20. Did Johnson violate the Code and Standards by the way he gathered information from Campbell using the personal data form? A) Yes, because he failed to collect the information during face-to-face contact. B) No, he did not violate the Code and Standards by the way he gathered information. C) Yes, because he permitted his assistant who does not hold the CFA designation to see this confidential information.
Q21. In his recommendation of Campbell buying the shares of Brown company, Johnson violates the Code and Standards concerning: A) Standard III(C) Suitability but not Standard V(A) Diligence and Reasonable Basis. B) Standard V(A) Diligence and Reasonable Basis but not Standard III(C) Suitability. C) both Standard III(C) Suitability as well as Standard V(A) Diligence and Reasonable Basis.
Q22. Did Johnson's supervisor violate the Code and Standards when she told Johnson about a more effective way to hide assets? A) Yes, because the supervisor assisted in an apparent violation of law. B) No, because the supervisor specifically stated that, "I cannot suggest" that you open an account in the name of a fictitious firm. C) No, because the supervisor did not take specific action that violated the law.
Q23. Which of the following is a violation of the Code and Standards? A) Black paying for the dinner with Johnson. B) Johnson having the assistant type up Campbell’s information. C) Johnson gathering information over the phone.
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发表于 2009-1-5 15:22
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