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"morality" exercise:Standards of Professional Conduct

来源: 正保会计网校 编辑:小鞠橘桔 2020/09/27 09:03:45 字体:

学习是一个不断积累的过程,每天学习一点,每天进步一点!为了帮助大家更高效地备考2021年CFA考试,正保会计网校每日为大家上新CFA习题供大家练习。让网校与您一起高效备考2021年CFA考试,梦想成真!

Questions 1:

A profession is most likely described as a group of people that:

A 、has a common level of basic knowledge about a particular subject.

B、 monitors its members based on an agreed-on code of ethics.

C、 puts the interests of its members first

Questions 2:

Who most likely determines whether a violation of the CFA Institute Code and Standards or testing policies has occurred and what sanction should be imposed? The:

A、 Professional Conduct Staff and the Disciplinary Review Committee

B 、Professional Conduct Staff

C、 Disciplinary Review Committee

View answer resolution
【Answer to question 1】B

【analysis】

B is correct. A profession is practiced by members who share and agree to adhere to a common code of ethics, and a profession is based on a specialized knowledge and skills and service to others. 

A is incorrect. A profession is based on a specialized knowledge and skills, not basic knowledge.

 C is incorrect. A profession is based on service to others that may not necessarily mean the interests of its members come first.

【Answer to question 2】A

【analysis】

A is correct. Both the Professional Conduct Staff and the Disciplinary Review Committee are responsible for determining whether a violation of the Code and Standards or testing policies has occurred and if so what sanction should be imposed. Following their investigation, the Professional Conduct Staff may conclude the inquiry with no disciplinary sanction, issue a cautionary letter, or continue proceedings to discipline the member or candidate which include the charges and a proposed sanction. If that proposal is rejected by the member or candidate, the matter is referred to a panel composed of DRC Members. The panel’s task is to determine whether a violation of the Code and Standards or testing policies occurred and if so what sanction should be imposed.

 B is incorrect. Both the Professional Conduct Staff and the Disciplinary Review Committee are responsible for determining whether a violation of the Code and Standards or testing policies has occurred and if so what sanction should be imposed. 

 C is incorrect. Both the Professional Conduct Staff and the Disciplinary Review Committee are responsible for determining whether a violation of the Code and Standards or testing policies has occurred and if so what sanction should be imposed.

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特许金融分析师限时免费资料

  • CFA报考指南

    CFA报考指南

  • CFA考试大纲

    CFA考试大纲

  • CFA历年

    CFA历年

  • CFA学习计划

    CFA学习计划

  • CFA思维导图

    CFA思维导图

  • CFA备考建议

    CFA备考建议

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