职业伦理模块 Loyalty Q:Charles, CFA, is a portfolio manager at ABC Asset Management. The asset management firm specializes in trading highly illiquid shares. When making transactions for ABC clients and for his own relatively small account, Charles almost exclusively uses Honey Securities Broker. However

职业伦理模块 Misrepresentation Q：Tracy recommends the purchase of a mutual fund that invests solely in long-term U.S. Treasury bonds by making the following statements: Statement 1: "The default risk of the bonds is virtually zero as the payment of the bonds is guaranteed by the U.S. government.

职业伦理模块 Preservation of Confidentiality Q:Greg Stiles, CFA, keeps a list of his clients’ birthdays and has personally sent them a birthday card each year at the appropriate time. With respect to this action, which of the following may be a violation of Standard III(E) Preservation of Confidentiality

职业伦理模块 Independence and Objectivity Q：Jasmine, CFA, as a deputy treasurer for Monster College, manages the ABC Student Scholarship Trust. A request for proposal (RFP) for domestic equity managers is issued by Jasmine. Paul, CFA, a good friend of Jasmine, introduces him to representatives from ABC

职业伦理模块 Knowledge of Law Q：Janet Green, CFA, provides investment advice and other services to clients in several countries. She resides in Country A whose securities laws and regulations are less strict than the Code and Standards. She also conducts business with clients in Country B, which has

职业伦理模块 Framework for Ethical Decision Making Q：An ethical decision-making framework will most likely: Include a pre-determined, uniform sequence. Focus exclusively on confirmable facts and relationships. Help avoid a decision that has unanticipated ethical consequences.   Solution: C Using

职业伦理模块 Fair Dealing Q:Adam, CFA, is the chief compliance officer at ABC Investment Limited. A new policy requiring the pro rata distribution of new security issues to all established discretionary accounts for which the new issues are appropriate was instituted by Adam. The policy also requires

职业伦理模块 Market Manipulation Q：Ron Taylor, a CFA Level I candidate, trades cotton contracts for a small commodity broker. Taylor convinces a government cotton inspector to issue a warning that the Texas cotton crop is in danger from insect infestation. The price of cotton soars. Taylor immediately

职业伦理模块 Material Nonpublic Information Q：Lin Xuan, CFA, is a sell side investment analyst. Lin hears rumors that GR Software may have falsified its financial results while at a software industry conference. When she returns to her office, Lin conducts a thorough analysis of GR. Based on her research

职业伦理模块 Independence and Objectivity Q：Lily, as a CFA candidate and an equity research analyst at an independent research firm, is contacted by Great Tech, Inc, to write an issuer-paid research report on the company to increase awareness of Great’s stock within the investment community. Which