答案和详解如下： Q12. Julie Stades retired several years ago and relinquished her membership in CFA Institute. She had the CFA designation up until then. She has decided to go back to work and puts the following statement on her resume: “I earned the CFA designation 10 years ago.” Is this a violation of Standard VII(B)? A) Yes, she has used the letters "CFA" in an undignified manner. B) No, as long as she does not indicate she currently has the designation. C) Yes, because she uses "CFA" as a noun. Correct answer is B) Stades is allowed to state that she earned the designation as long as she does not infer that she currently has the designation. The letters “CFA” are only to be used as an adjective, and she does that. Q13. Ralph Lim and Susan Bland have both passed Level I of the CFA Program. Both are currently enrolled to sit for Level II. Lim's business card reads, "Ralph Lim, CFA Level I." Bland's resume states, "Level II Candidate in the CFA Program." According to CFA Institute Standards of Professional Conduct involving use of the professional designation: A) Both Lim and Bland violated the Standard. B) Bland violated the Standard, but Lim did not. C) Lim violated the Standard, but Bland did not. Correct answer is C) There is no designation for someone who has passed Level I, Level II, or Level III of the CFA examination. Candidates may state, however, that they have completed Level I, II, or III, as the case may be, in the CFA Program. Thus, Lim violated the Standard, but Bland did not. Q14. A CFA Institute member puts the following statement on her resume: “I passed each level of the CFA exam on the first try.” Is this a violation of Standard VII(B)? A) Yes, because she incorrectly refers to the CFA exam. B) No, because it is a statement of fact. C) Yes, because saying she passed exams on the first try is not appropriate. Correct answer is B) The statement is not a violation because it is a fact. However, the member must not go on to claim superior performance. Q15. A bank trust department has three portfolio managers (Diane Cole, Tomas Bermudez, and Anthony Ring), who have been awarded the right to use the CFA designation, and one other employee (Diane Takao) who has registered for the Level 3 CFA exam. The bank wants to include information about these individuals in a brochure. According to CFA Institute Standards of Professional Conduct, which of the following is the most appropriate use the designation in the brochure? A) Diane Cole is one of three CFAs in our trust department. B) Diane Takao passed Level 2 of the CFA examination and is currently enrolled to take Level 3. C) Anthony Ring is a Chartered Financial Analyst who has had 10 years of experience as a portfolio manager. Correct answer is B) According to Standard VII(B) Reference to CFA Institute, the CFA Designation, and the CFA Program, the CFA and Chartered Financial Analyst designations must always be used as adjectives, never as nouns or common names. The CFA designation should not be altered to create new words or phrases. | 
发表于 2009-1-9 17:28
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