| 答案和详解如下： Question 1 The correct answer was A) both their employer and their clients. According to Standard VI(A), Disclosure of Conflicts, members have a duty to disclose to both their employer and their clients all matters which may impair their independence and objectivity or interfere with their duties to employer, clients, and prospects. This question tested from Session 1, Reading 2-VI, LOS A. Question 2 The correct answer was C) James may claim that he is a CFA charterholder. The other claims listed would violate Standard VII, Responsibilities as a CFA Institute Member or CFA Candidate. He may state that he obtained his charter in three years if this is true, but cannot suggest that this implies superior ability. CFA Institute is not a licensing authority; rather it awards the CFA designation. A charterholder must not overpromise future investment performance tied to the CFA designation. This question tested from Session 1, Reading 2-VII, LOS B. Question 3 The correct answer was A) has not violated the Code and Standards. Standard I(B) requires members to maintain independence and objectivity. A visit by an analyst to an out-of-the-way site may be paid for by a client company host as long as the analyst can maintain objectivity. Members should encourage clients to limit the use of corporate aircraft, but exceptions can be made if transportation would not otherwise be available or would be inefficient. This question tested from Session 1, Reading 2-I, LOS B. Question 4 The correct answer was A) Standard VI(C) Referral Fees requires members to disclose to clients and prospects any consideration or benefit received by the member or delivered to others for the recommendation of any services to the client or prospect. Gill is delivering a benefit to Land Bank and receiving a benefit from Bloom, both of which must be disclosed to Singh. This question tested from Session 1, Reading 2-VI, LOS C. Question 5 The correct answer was D) Maintaining and Improving Professional Competence The requirement that members must “maintain and improve their professional competence” is part of the Code of Ethics. The seven Standards of Professional Conduct are (I) Professionalism; (II) Integrity of Capital Markets; (III) Duties to Clients; (IV) Duties to Employers; (V) Investment Analysis, Recommendations, and Actions; (VI) Conflicts of Interest; and (VII) Responsibilities as a CFA Institute Member or CFA Candidate. Standard I(D) – Misconduct requires that members not engage in conduct that reflects adversely on their professional competence but does not specifically require that they maintain and improve their competence. This question tested from Session 1, Reading 1, LOS b, (Part 2) | 
发表于 2008-11-13 12:40
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