Q9.Which of the following are recommended procedures of compliance according to Standard I(D), Misconduct? A) All of these choices are correct. B) Enroll employees in a continuing education program that would provide updates on required ethical behavior. C) Conduct background checks on potential employees to ensure that they are of good character. Q10.An investment advisor takes a trip for which his firm will pay the expenses. Upon his return he alters some of the numbers on restaurant receipts to inflate the expenses by $64. Is this a violation of Standard I(D)? A) No, if such a crime carries less than a one-year prison term. B) Yes, because the amount involved is over $50. C) Yes, because it reflects adversely on the charterholder’s professional reputation.
Q11.All of the following are violations of Standard I(D), Misconduct, EXCEPT: A) conviction of a crime involving fraud. B) any conduct that undermines confidence that the CFA charter represents a level of achievement based on merit and ethical conduct. C) conviction of a misdemeanor involving civil disobedience in support of one’s personal beliefs. | 
发表于 2008-12-30 15:54
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