答案和详解如下： Q1. Timothy Hooper, CFA, is a security analyst at an investment firm. In his spare time, Hooper serves as a volunteer for City Pride, which collects clothes for the homeless. Hooper has occasionally given some of the clothes to his friends or sold the clothes instead of returning all of the clothing to City Pride. City Pride discovers what he has been doing and dismisses him. Later, City Pride learns that other volunteer organizations have dismissed Hooper for similar actions. Has Hooper violated Standard I(D) on professional misconduct in the CFA Institute Standards of Professional Conduct? A) No, because Hooper's conduct is unrelated to his professional activities as a security analyst. B) Yes. C) No, because Hooper volunteers his services to City Pride. Correct answer is B) Hooper violated Standard I(D) because he repeatedly engaged in conduct that involves dishonest conduct. This violation occurred despite the fact that his offenses do not relate directly to his professional activities. However, Hooper’s conduct reflects poorly on his professional reputation and integrity. Q2. Which of the following does NOT violate Standard I(D), Misconduct? Roland Lawson, a financial analyst: A) is arrested for participating in a nonviolent protest. B) committed perjury in connection with a lawsuit against his firm. C) drinks excessively during business meetings with clients and returns to work under the influence of alcohol. Correct answer is A) Any professional conduct that involves dishonesty, fraud, or deceit is a violation of Standard I(D), Misconduct. One must refrain from activities that reflect poorly on integrity, reputation, trustworthiness, or professional conduct. The focus of the Standard is on professional, not personal, conduct. Q3. Nancy Hall, a candidate in the CFA program, is an analyst for a mutual fund. As part of her job she makes company visits to interview executives. On a recent trip she stayed with her sister instead of at a hotel. In her expenses Hall included a hotel charge of $100, which was less than the amount allowed by her employer. After receiving a check for her expenses, Hall disclosed to her supervisor that she had stayed with her sister instead of at a hotel. She also returned the $100 to her employer. According to CFA Institute Standards of Professional Conduct, which of the following statements best describes Hall's professional conduct? A) Hall did not engage in professional misconduct because she eventually disclosed this information and returned the $100 to her employer. B) Hall engaged in professional misconduct. C) Hall did not engage in professional misconduct because she did not meet all of the requirements to use the CFA designation. Correct answer is B) Hall engaged in professional misconduct because her act involved dishonesty, fraud, and deceit. | 
发表于 2009-1-5 16:19
| 
