答案和详解如下： 6 Correct answer is D Guidance for Standards I-VII, Standards of Practice Handbook
2008 Modular Level I, Vol. 1, p. 90
Study Sessions 1-1-c, 1-2-b
explain the ethical responsibilities required by the Code and Standards, including the multiple subsections of each Standard;
distinguish between conduct that conforms to the Code and Standards and conduct that violates the Code and the Standards
Members are not required to disclose their responsibilities as CFA charterholders to clients. They are, however, required to disclose all matters that could reasonably be expected to impair their independence and objectivity or interfere with respective duties to their clients, prospective clients, and employer. Service as a director, market-making activities, and beneficial ownership of stock are three examples of such matters.
7 Correct answer is D Guidance for Standards I-VII, Standards of Practice Handbook
2008 Modular Level I, Vol. 1, pp. 76-78
Study Sessions 1-1-c, 1-2-b
explain the ethical responsibilities required by the Code and Standards, including the multiple subsections of each Standard;
distinguish between conduct that conforms to the Code and Standards and conduct that violates the Code and the Standards
Members with supervisory responsibility must make reasonable efforts to detect violations of laws, rules, regulations, and the Code and Standards. They exercise reasonable supervision by establishing and implementing written compliance procedures.
8 Correct answer is D Standards of Practice Handbook, 9th edition (CFA Institute, 2005), pp. 15-16, 83, 91, 113
Standards I-VII
2008 Modular Level I, Vol. 1, pp. 21-22, 69, 75, 89
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
The Standards require that members not accept gifts or compensation that might reasonably compete with their employer’s interest unless they obtain written consent from all parties involved. Arrangements such as that offered to Pederson may cause a conflict of interest or result in partiality that could impede Pederson’s independence and objectivity.
9 Correct answer is C Standards of Practice Handbook, 9th edition (CFA Institute, 2005), pp. 93-94
Standards I-VII
2008 Modular Level I, Vol. 1, pp. 76-77
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
The Standards require that members make reasonable efforts to detect and prevent violations of applicable laws, rules, and regulations. Supervisors exercise reasonable supervision by establishing and implementing written compliance procedures and ensuring the procedures are followed through periodic review. Once a supervisor learns of a possible violation, the supervisor must promptly initiate an investigation. Warning the employee to cease the activity, as Abel has done, is not enough. Pending the outcome of the investigation, Abel may need to place limits on the employee’s activities to ensure the violations will not be repeated.
10 Correct answer is A Guidance for Standards I-VII, Standards of Practice Handbook
2008 Modular Level I, Vol. 1, pp. 50-53, 69-70, 80-81
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
Takada’s use of astrology as a research methodology violates the Standards relating to Loyalty, Prudence, and Care as well as Diligence and Reasonable Basis. His research methodology and blog may also reflect poorly on his employer and cause the employer harm. Takada is least likely to violate the Standard relating to Fair Dealing because the blog is a method of mass communication that makes Takada’s investment recommendations available to all readers simultaneously.
| 
发表于 2008-11-9 12:19
| 