Q6. Lindsay Gordon is a CFA Level II candidate living in San Francisco. Gordon’s best friend, Steve Haney, also a Level II candidate, is living in Munich. Because of the time difference between Munich and San Francisco, Gordon suggests that Haney call Gordon during the Munich exam lunch break to discuss the morning exam. Haney makes the call on exam day.
Which of the following statements regarding Gordon and Haney is TRUE?

A)   Gordon is in violation of Standard VII(A), but Haney is not in violation.

B)   Neither Gordon nor Haney is in violation of Standard VII(A).

C)   Both Gordon and Haney are in violation of Standard VII(A).

Q7. For the past 5 years, Karen Beckworth, CFA, has served as a proctor for the CFA exam. Beckworth tells her assistant, a CFA Level III candidate, that she normally receives the examinations on the Thursday before the exam. Given the low pass rate at Level III, Beckworth asks her assistant if he would like an advance copy of the next exam. Beckworth’s assistant declines the offer.

Beckworth’s assistant has been very vocal about expressing his opinions about the low pass rate. The assistant claims, “there are too many charterholders and CFA Institute is deliberately failing candidates because the prestige of the CFA charter is becoming diluted.”

Which of the following statements concerning Beckworth’s and her assistant’s behavior is TRUE?

A)   Both Beckworth and her assistant are in violation of Standard VII(A).

B)   Beckworth is in violation of Standard VII(A), but her assistant is not in violation.

C)   Neither Beckworth nor her assistant is in violation of Standard VII(A).

答案和详解如下：

Q6. Lindsay Gordon is a CFA Level II candidate living in San Francisco. Gordon’s best friend, Steve Haney, also a Level II candidate, is living in Munich. Because of the time difference between Munich and San Francisco, Gordon suggests that Haney call Gordon during the Munich exam lunch break to discuss the morning exam. Haney makes the call on exam day.
Which of the following statements regarding Gordon and Haney is TRUE?

A)   Gordon is in violation of Standard VII(A), but Haney is not in violation.

B)   Neither Gordon nor Haney is in violation of Standard VII(A).

C)   Both Gordon and Haney are in violation of Standard VII(A).

Correct answer is C)

Both Gordon and Haney violated Standard VII(A) by compromising the integrity of the exam. Gordon now has an unfair advantage.

Q7. For the past 5 years, Karen Beckworth, CFA, has served as a proctor for the CFA exam. Beckworth tells her assistant, a CFA Level III candidate, that she normally receives the examinations on the Thursday before the exam. Given the low pass rate at Level III, Beckworth asks her assistant if he would like an advance copy of the next exam. Beckworth’s assistant declines the offer.

Beckworth’s assistant has been very vocal about expressing his opinions about the low pass rate. The assistant claims, “there are too many charterholders and CFA Institute is deliberately failing candidates because the prestige of the CFA charter is becoming diluted.”

Which of the following statements concerning Beckworth’s and her assistant’s behavior is TRUE?

A)   Both Beckworth and her assistant are in violation of Standard VII(A).

B)   Beckworth is in violation of Standard VII(A), but her assistant is not in violation.

C)   Neither Beckworth nor her assistant is in violation of Standard VII(A).

Correct answer is B)

Beckworth is in violation of Standard VII(A), Conduct as Members and Candidates in the CFA Program. Beckworth compromised the integrity of the exam by offering her assistant an advance copy. Beckworth’s assistant is allowed to express his opinion without violation of any Standards.