标题: Tough Ethics Q's from Mock 2 [打印本页] 作者: JPSem 时间: 2013-3-30 20:40 标题: Tough Ethics Q's from Mock 2
1 - SC develops a quant model for sleecting mortgage bonds. SC is careful to document in writing all assumptions in the model and his reasoning for the assumptions. another firm offers campbell a position leading the startup of a mortgage bond research department. in his new positiion, Campbell creates a similar model and supporting documents. does campbell violate any CFA institute standards?
a - no
b- yes - record retention
c- yes loyaly to employer
d-yes - confidentiality
2- FB is an analyst and Van city Bank. FB receives compensation for referralls to the bank’s brokerage and personal financial planning divisions. his recent referrals are lon-time clients from his previous employer and FB does not mention VCB’s referral arrangement. Does he violate?
a-no
b-yes - suitability
c- yes - misrepresentation
d- yes - conflicts of interest作者: Carson 时间: 2013-3-30 20:40
1. A - No indication the model was taken from the former employer.
2. D - When in doubt, disclose!作者: mar350 时间: 2013-3-30 20:40
yeh i got the same but didnt feel overly confident with either. good.作者: yalo 时间: 2013-3-30 20:40
what are the answers?作者: iteracom 时间: 2013-3-30 20:40
