CFA历年高频考点1 火速转存！

来源: 正保会计网校编辑：大耳朵图图 2020/09/07 09:37:54　字体：大小

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年基金从业，梦想成真！

【CFA习题】

1、Carolina Ochoa, CFA, is the chief financial officer at Pantagonia Computing. Ochoa is currently the subject of an inquiry by Pantagonia's corporate investigations department. The inquiry is the result of an anonymous complaint accusing Ochoa of falsifying travel expenses for senior management related to a government contract. According to the CFA Institute Code of Ethics and Standards of Professional Conduct, it is most appropriate for Ochoa to disclose the allegations:

A. to CFA Institute when the investigation concludes.

B. on her Professional Conduct Statement.

C. to CFA Institute if the allegations are proven correct.

查看答案解析

【答案】

【解析】

Members and candidates must self-disclose on the annual Professional Conduct Statement all matters that question their professional conduct, such as involvement in civil litigation or criminal investigations or being the subject of a written complaint.

【CFA习题】

2、Ileana Inkster, CFA, was recently offered a senior management position within the trust department at a regional bank. The department is new, but the bank has plans to expand it significantly over the next few months. Inkster has been told she will be expected to help grow the client base of the trust department. She is informed that the trust department plans to conduct educational seminars and pursue the attendees as new clients. Inkster notices that recent seminar advertisements prepared by the bank's marketing department do not mention investment products will be for sale at the seminar. The ads indicate attendees can "learn how to immediately add $100,000 to their net worth." What should Inkster most likely do to avoid violating any CFA Institute Standards of Professional Conduct?

A. Decline to accept the new position

B. Accept the position and inform senior management of inadequate compliance procedures

C. Accept the position and revise the marketing material

查看答案解析

【答案】

【解析】

The prospective supervisor's first step should be to not take the position. Accepting the position with inadequate procedures in place or improper marketing material would leave Inkster at risk of incurring a violation of Standard IV(C)–Responsibilities of Supervisors. She could agree to be hired as an interim consultant with the bank in order to implement adequate procedures before taking on any supervisory role.

没有被折磨的觉悟，就没有向前冲的资格。既然选择了，就算要跪着也要走下去。其实有时候我们还没做就被我们自己吓退了，想要往前走，就不要考虑太多，去做就行了。既然选择了CFA考试，就要朝着它勇敢向前，每天进步一点点，基础扎实一点点，通过考试也就会更容易一点点。

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