Q16. Judy Albert and Bob Tye, who recently started their own investment advisory business, plan to take the Level III CFA examination next year. Albert's business card reads, "Judy Albert, CFA Candidate." Tye has not put anything about the CFA on his business card. However, the firm's promotional materials describe the CFA requirements and indicate that Tye participates in the CFA program and has completed Levels I and II. According to CFA Institute Standards of Professional Conduct:

A)   Both Albert and Tye have violated the Standards.

B)   Albert has violated the Standards but Tye has not.

C)   Neither Albert nor Tye has violated the Standards.

答案和详解如下：

Q16. Judy Albert and Bob Tye, who recently started their own investment advisory business, plan to take the Level III CFA examination next year. Albert's business card reads, "Judy Albert, CFA Candidate." Tye has not put anything about the CFA on his business card. However, the firm's promotional materials describe the CFA requirements and indicate that Tye participates in the CFA program and has completed Levels I and II. According to CFA Institute Standards of Professional Conduct:

A)   Both Albert and Tye have violated the Standards.

B)   Albert has violated the Standards but Tye has not.

C)   Neither Albert nor Tye has violated the Standards.

Correct answer is B)

On letterheads and business cards and in directory listings, only the mark CFA or the words Chartered Financial Analyst should appear after the charterholder's name.

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thanks

B