[CFA level 1模拟真题]Version 4 Questions－Q9 Request, face, him, domestic, friend

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Q9.  Jiro Sate, CFA, deputy treasurer for May College, manages the Student Scholarship Trust, Sato issued a Request for Proposals (RFP) for domestic equity managers. Pamela Peters, CFA, a good friend of Sato, introduces him to representatives from Capital Investments, who submitted a proposal. Sate selected Capital as a manager based on the firm's excellent performance record. Shortly after the selection, Peters, who had outstanding performance as an equity manager with another firm, accepted a lucrative job with Capital Have Sato and peters, respectively, violated any CFA Institute Standards of Professional Conduct?

Sato                     Peters

A. No                       No

B. No                       Yes

C. Yes                       NO

D. Yes                       Yes

A. Answer A

B. Answer B

C. Answer C

D. Answer D

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答案和详解如下：

Q9.   A    07 Modular Level I, Vol.1, pp.21-29,98   Study Sessions 1-2-a

Members should use reasonable care and judgment to maintain independence and objectivity. There is no indication of inappropriate behavior in selection of the equity manager or in the acceptance of employment with that management; both decisions were based on the excellent performance records of the manager and the member, respectively.

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NO IDEA

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a

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d

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