Q10. A CFA charterholder in a managerial position is in the process of hiring new analysts. If the charterholder conducts background checks on the job applicants with respect to their character, the charterholder has:

A)   violated the Code of Ethics by invading the applicants' privacy.

B)   complied with Standard I(D) concerning professional misconduct.

C)   complied with Standard VII(A) concerning conduct of members and candidates in the CFA Program.

Q11. A CFA charterholder who comes to work intoxicated is:

A)   in violation of Standard IV(A) concerning duties to employer.

B)   not in violation of the standards.

C)   in violation of Standard I(D) concerning professional misconduct.

答案和详解如下：

Q10. A CFA charterholder in a managerial position is in the process of hiring new analysts. If the charterholder conducts background checks on the job applicants with respect to their character, the charterholder has:

A)   violated the Code of Ethics by invading the applicants' privacy.

B)   complied with Standard I(D) concerning professional misconduct.

C)   complied with Standard VII(A) concerning conduct of members and candidates in the CFA Program.

Correct answer is B)

To avoid potential problems and comply with Standard I(D), employers are encouraged to conduct background checks on potential employees.

Q11. A CFA charterholder who comes to work intoxicated is:

A)   in violation of Standard IV(A) concerning duties to employer.

B)   not in violation of the standards.

C)   in violation of Standard I(D) concerning professional misconduct.

Correct answer is C)

Being intoxicated at work is poor personal behavior. It is a violation of Standard I(D), which covers professional competence and integrity.