职业伦理模块 Misconduct Q：Hellen, CFA, has been accused of professional misconduct by one of her competitors. The allegations concern Hellen’s personal bankruptcy filing when she was a college student five years ago. By not disclosing the bankruptcy filing to her clients, did Hellen violate any CFA

职业伦理模块 Misrepresentation Q:Marc Randall, CFA, is an investment analyst. During a meeting with a potential client, Randall's boss states that, "You can be sure our investments will always outperform Treasury Bonds because of our fine research staff members, like Marc." Randall knows

职业伦理模块 Additional Compensation Arrangements Q:A fund manager who is an independent third party is responsible for the equity portfolio of a high-tech company. He sits as the board member of the company and is invited to take the plane of board’s directors for free. Because there is no cash

职业伦理模块 Independence and Objectivity Q：Rita, CFA, is a portfolio manager in ABC Investment Management. Rita is conducting research on Tennis Mining to consider it as potential inclusion. Tennis’s management is interested in having a well-known fund manager such as Rita as a shareholder. Tennis pays

职业伦理模块 Proceedings and Hearing Panel Q：If a member does not accept a sanction from a designated officer of CFA PCP, the matter is referred to a hearing panel made up of: Local CFA society board member. The CFA Institute Standards of Practice Council. DRC members and CFA Institute member volunteers.

职业伦理模块 Loyalty Q:A former hedge fund manager, Jackman, has decided to launch a new private wealth management firm. From his prior experiences, he believes the new firm needs to achieve $1 million in assets under management in the first year. Jackman offers a $10,000 incentive to any adviser who

职业伦理模块 Knowledge of Law Q:Mary Kim, CFA, practices in the established country of Oldasia as well as in the emerging country of Newasia. By regulation, Oldasia prohibits licensed investment advisors from trading in securities ahead of their clients. Newasia has no laws or regulations in this area.

职业伦理模块 Code of Ethics Q：The Code of Ethics does NOT explicitly say that a CFA Institute member shall do which of the following? Actively lobby for new laws to protect the public. Reflect credit on the profession. Act with integrity.   Solution: A The Code of Ethics says nothing about a CFA

职业伦理模块 Preservation of Confidentiality Andrew Mader, CFA, is an analyst with Metro Investment Services. During lunch with some of Metro's managers, Mader is told, "There are going to be major problems at Gebco (a firm that Metro had brought public last year). I was just over there and the place

职业伦理模块 Additional Compensation Arrangements Q:Jurgen is a portfolio manager. One of her firm’s clients has told Jurgen that he will compensate her beyond the compensation provided by her firm on the basis of the capital appreciation of his portfolio each year. Jurgen should: Turn down