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标题: Reading 2-I: Standards of Professional Conduct & Guidan [打印本页]

作者: mayanfang1    时间: 2009-1-12 15:48     标题: [2009] Session 1: Reading 2-I: Standards of Professional Conduct & Guidance:

Q5. Georgia Jones, CFA, is an analyst for Johnson, Thomas & Co. She also serves as an outside director for Dewey Manufacturing, Inc. In the course of her duties, she begins to believe that Dewey’s income statement for the most recent period may have been misstated. Georgia should do all of the following EXCEPT:

A)   consult with Dewey Manufacturing's legal counsel.

B)   consult with Johnson, Thomas' legal counsel.

C)   inform the Securities and Exchange Commission.

Q6. A member who suspects that a colleague is violating the law should most appropriately:

A)   report the illegal activity to the appropriate regulatory agency.

B)   consult with the company counsel to determine if in fact a law is being violated.

C)   report the illegal activity to CFA Institute Professional Conduct Program for action.

Q7. Deloris Johnson, CFA, suspected that her intern, who was working without pay at her brokerage firm, had violated a federal securities regulation. Johnson discussed the matter with her company's legal counsel who said that the intern's conduct was illegal. According to the CFA Institute Code and Standards of Professional Conduct, Johnson can dissociate herself from this illegal activity by:

A)   transferring supervision of the intern to another person.

B)   telling her intern to stop such conduct.

C)   reporting the activity to the appropriate authorities.

Q8. CFA Institute believes:

A)   that a minimum level of professional responsibility and conduct dictates that members be aware of and comply with laws, rules, and regulations governing their conduct.

B)   that a maximum level of professional responsibility and conduct dictates that members be aware of and comply with laws, rules, and regulations governing their conduct.

C)   that firms should comply with all domestic laws and regulations and that these laws also govern behavior in foreign markets, regardless of foreign laws and requirements.


作者: rettacui    时间: 2009-1-13 04:03

[em02]
作者: stephen214    时间: 2009-2-2 10:02

thx[em05]
作者: luck    时间: 2009-3-9 10:06

thx
作者: lenny_chen    时间: 2009-3-11 15:43

x
作者: liqingguo    时间: 2009-3-13 19:00

cbcb
作者: dandinghe4748    时间: 2009-4-17 10:46     标题: 回复:(mayanfang1)[2009] Session 1: Reading 2-I:...

3x
作者: CFA6077653    时间: 2009-4-17 14:31

3221
作者: szg333    时间: 2009-5-2 07:31


作者: LegendL    时间: 2009-5-14 22:10

THX
作者: hitman1986    时间: 2009-5-16 00:01     标题: S

S
作者: likui    时间: 2009-5-20 17:23

QUOTE:
以下是引用mayanfang1在2009-1-12 15:48:00的发言:

Q5. Georgia Jones, CFA, is an analyst for Johnson, Thomas & Co. She also serves as an outside director for Dewey Manufacturing, Inc. In the course of her duties, she begins to believe that Dewey’s income statement for the most recent period may have been misstated. Georgia should do all of the following EXCEPT:

A)   consult with Dewey Manufacturing's legal counsel.

B)   consult with Johnson, Thomas' legal counsel.

C)   inform the Securities and Exchange Commission.

Q6. A member who suspects that a colleague is violating the law should most appropriately:

A)   report the illegal activity to the appropriate regulatory agency.

B)   consult with the company counsel to determine if in fact a law is being violated.

C)   report the illegal activity to CFA Institute Professional Conduct Program for action.

Q7. Deloris Johnson, CFA, suspected that her intern, who was working without pay at her brokerage firm, had violated a federal securities regulation. Johnson discussed the matter with her company's legal counsel who said that the intern's conduct was illegal. According to the CFA Institute Code and Standards of Professional Conduct, Johnson can dissociate herself from this illegal activity by:

A)   transferring supervision of the intern to another person.

B)   telling her intern to stop such conduct.

C)   reporting the activity to the appropriate authorities.

Q8. CFA Institute believes:

A)   that a minimum level of professional responsibility and conduct dictates that members be aware of and comply with laws, rules, and regulations governing their conduct.

B)   that a maximum level of professional responsibility and conduct dictates that members be aware of and comply with laws, rules, and regulations governing their conduct.

C)   that firms should comply with all domestic laws and regulations and that these laws also govern behavior in foreign markets, regardless of foreign laws and requirements.


作者: hkgee    时间: 2009-6-3 01:26

z
作者: lamchoonho    时间: 2009-9-10 17:02

  thanks
作者: jrxx99    时间: 2009-12-16 11:55

看看看看看看看看看看看看
作者: yan_superman    时间: 2010-1-3 06:57

 xie
作者: htpeng    时间: 2010-3-5 01:36

cj
作者: xiamity    时间: 2010-5-16 14:46

谢谢!
作者: MLI123    时间: 2010-5-23 21:05

 谢




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