Q14. All of the following are violations of the Code and Standards EXCEPT:

A)   TFA’s management not making any special effort to include Hernandez’s holding the CFA designation in their literature and advertisements.

B)   Hernandez not informing TFA of her private practice and getting written permission for it.

C)   Hernandez using TFA data and research for her private practice.

Q15. Upon her arrival at TFA, as a CFA charterholder, Hernandez:

A)   is only required to provide her employer with written notification of her obligation to comply because she has been told her supervisors are aware of the Code and Standards.

B)   is required to deliver a copy of the Code and Standards to her employer and provide them with written notification of her obligation to comply.

C)   is not required to deliver a copy of the Code and Standards to her employer.

答案和详解如下：

Q14. All of the following are violations of the Code and Standards EXCEPT:

A)   TFA’s management not making any special effort to include Hernandez’s holding the CFA designation in their literature and advertisements.

B)   Hernandez not informing TFA of her private practice and getting written permission for it.

C)   Hernandez using TFA data and research for her private practice.

Correct answer is A)

Using the CFA designation is a privilege and is not mandatory. TFA has not prohibited Hernandez from using it, they simply have said that they will not make an effort to use it, which may actually be in compliance with the Standards in that they avoid any undignified use of the designation. The other three choices are clear violations. Hernandez cannot use the property, i.e., the data and research, of TFA. She needs written permission to continue her private practice. TFA is required to supervise Hernandez, and they are not fulfilling this responsibility by allowing her to proceed with her plans to write the CoppOre report.

Q15. Upon her arrival at TFA, as a CFA charterholder, Hernandez:

A)   is only required to provide her employer with written notification of her obligation to comply because she has been told her supervisors are aware of the Code and Standards.

B)   is required to deliver a copy of the Code and Standards to her employer and provide them with written notification of her obligation to comply.

C)   is not required to deliver a copy of the Code and Standards to her employer.

Correct answer is C)         

There is no longer a requirement to provide an employer with a copy of the Code and Standards.

a