Q10.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.

 Q11.Did Johnson's supervisor violate the Code and Standards when she told Johnson about a more effective way to hide assets?

 Q11.Did Johnson's supervisor violate the Code and Standards when she told Johnson about a more effective way to hide assets?

A)   No, because the supervisor specifically stated that, "I cannot suggest" that you open an account in the name of a fictitious firm.

B)   No, because the supervisor did not take specific action that violated the law.

C)   Yes, because the supervisor assisted in an apparent violation of law.

Q12.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.

Q13.Is Johnson in violation of the Code and Standards if he informs the legal authorities that Campbell is attempting to hide assets from the courts?

A)   Yes, because he would be violating client-member confidentiality.

B)   No, because Campbell has done something illegal.

C)   Yes, because Johnson has only hearsay information about illegal activity and he would need written documentation to justify notifying the legal authorities.

Q14.In dealing with the public and others, the CFA Institute Code of Ethics indicates that CFA Institute members will act with:

A)   confidence, knowledge, and high ethical standards.

B)   integrity, competence, and respect.

C)   honesty, professionalism, and goodwill.

Q15.Which of the following is NOT an act explicitly referred to in the Code of Ethics?

A)   Giving free introductory seminars on investing to the public.

B)   Using reasonable care when making investment recommendations.

C)   Improve professional competence.

[此贴子已经被作者于2008-12-29 15:54:09编辑过]

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