15、David Donnigan enrolled to take the Level II CFA examination in the current year; however, he did not take the exam. Donnigan advised his employer that he was confident that he passed Level II. Did Donnigan violate the CFA Institute Standard of Professional Conduct relating to:

professional misconduct?      duty to employer?

A.   No  No

B.    No  Yes

C.   Yes  No

D.   Yes  Yes

A. Answer A

B. Answer B

C. Answer C

D. Answer D

15、Correct answer is C

Standards of Practice Handbook, 9th edition (CFA Institute, 2005), pp. 33-34, 83-96

Standards I-VII

2008 Modular Level I, Vol. 1, pp. 35, 68-78

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 not engage in conduct involving dishonesty, fraud, deceit, or misrepresentation. The member's dishonesty is not addressed in the Standards related to Duties to Employers, however.

CCC

顶

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