答案和详解如下： Q1. A CFA charterholder coaches a fellow employee as that colleague studies for the CFA exams. The charterholder tells the colleague all that she remembers from her exams and how they were constructed. This is: A) not a violation of the standards. B) a violation of Standard I(D) concerning professional misconduct. C) a violation of Standard VII(B) concerning use of the designation. Correct answer is B) This is a violation because even though it does not necessarily compromise the integrity of the next exam, it does violate the Code of Ethics, Standard I(D) Misconduct, and Standard VII(A) Conduct as Members and Candidates in the CFA Program. At the beginning of the CFA examination, all candidates are required to sign a statement saying they will not divulge any information regarding the exam to anyone. In this question the Code of Ethics was broken because it requires CFA candidates and CFA Institute members to act in an ethical manner. Standard I(D) Misconduct was broken because it requires members and candidates to not engage in any dishonest conduct. Standard VII(A) Conduct as Members and Candidates in the CFA Program was broken because it requires members and candidates to not disregard the rules and policies of the CFA Program related to examination administration. Q2. 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) Both Gordon and Haney are in violation of Standard VII(A). B) Gordon is in violation of Standard VII(A), but Haney is not in violation. C) Neither Gordon nor Haney is in violation of Standard VII(A). Correct answer is A) Both Gordon and Haney violated Standard VII(A) by compromising the integrity of the exam. Gordon now has an unfair advantage. Q3. Ron Vasquez is registered to sit for the CFA Level II exam. Unfortunately, Vasquez has failed the exam the past two years. In his frustration, Vasquez posted the following comment on a popular internet bulletin board: “I believe that CFA Institute is intentionally limiting the number of charterholders in order to increase its cash flow by continuing to fail candidates. Just look at the pass rates.” Which of the following statements regarding Vasquez’s conduct is TRUE? Vasquez is: A) in violation of Standard VII(A), Conduct as Members and Candidates in the CFA Program, but not in violation of Standard I(D), Misconduct. B) not in violation of Standard I(D), Misconduct or Standard VII(A), Conduct as Members and Candidates in the CFA Program. C) in violation of both Standard I(D), Misconduct and Standard VII(A), Conduct as Members and Candidates in the CFA Program. Correct answer is B) Standard VII(A), Conduct as Members and Candidates in the CFA Program does not prohibit expressing opinions about the program or the CFA Institute. Thus, Vasquez is not in violation. Nothing in the facts indicates a violation of Standard I(D), Misconduct. Standard I(D) deals with professional conduct involving dishonesty, fraud, or deceit. | 
发表于 2009-1-9 17:22
| 
