1.Jiro Sato, 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. Sato selected Capital as a manager based on the firm抯 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 |
Select exactly 1 answers from the following: A. B. C. D
答案和详解如下！ .
Feedback: Correct answer: A
Standards of Practice Handbook, 9th edition (CFA Institute, 2005), pp. 15-19, 1272006 Level I Program Readings, uidance?for Standards I-VII, Standards of Practice Handbook, 9th edition (CFA Institute, 2005), pp. 11-16, 86 2006 Modular Level I, Vol. I, pp. 17-22, 92 Study Session 1 distinguish between conduct that conforms to the Code and Standards and conduct that violates the Code and the Standards
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 manager; both decisions were based on the excellent performance records of the manager and the member, respectively. | 
发表于 2006-11-21 10:57
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