2008 CFA Level 1 － Sample 样题(3)－Q18 2008, face, exchange

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18、Nicholas Bennett, CFA, is a trader at a stock exchange. Another trader approached Bennett on the floor of the exchange and verbally harassed him about a poorly executed trade. Bennett pushed the trader and knocked him to the ground. Which of the following best describes Bennett's conduct? Bennett:

A. did not violate either the CFA Institute Code of Ethics or any Standards of Professional Conduct.

B. violated the CFA Institute Code of Ethics, but did not violate any Standards of Professional Conduct.

C. violated the CFA Institute Code of Ethics and the Standard of Professional Conduct that relates to professional misconduct.

D. violated the CFA Institute Code of Ethics and the Standards of Professional Conduct that relate to professional misconduct and integrity of capital markets.

 

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答案和详解如下：

18、Correct answer is C

Standards of Practice Handbook, 9th edition (CFA Institute, 2005), pp. 1, 33-34

Standards I-VII

2008 Modular Level I, Vol. 1, pp. 35, 36-45

Study Session 1-2-a

demonstrate a thorough knowledge of the Code of Ethics and Standards of Professional Conduct by applying the Code and Standards to specific situations presenting multiple issues of questionable professional conduct

Members should act with integrity, dignity, and in an ethical and professional manner; any individual behavior that reflects adversely on the profession should be avoided. Bennett's actions violated the Standard relating to professionalism but not the Standard relating to integrity of capital markets.

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