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Đề thi CFA Level 1 Buổi sáng Phần 1

Đề thi CFA Level 1 Phần Ethics và Quantitative Analysis Nguồn: webchungkhoan | Vietnam Stock Exchange Forum - Diễn đàn chứng khoán Việt Nam http diendan.vse.vn Schweser Printable Tests - Level 1 - EXAM 3 Morning - 180 minutes - Level 1 - EXAM 3 Morning You can print this page by going to file - print in your internet browser. Ethics - 18 Questions - 27 minutes Question 1 - 23424 The Investment Banking Department of MLB J often receives material nonpublic information that could have considerable value to MLB J s brokerage clients. To protect itself and to conform to the AIMR Code of Ethics and Standards of Professional Conduct MLB J should temporarily prohibit buy and sell recommendations on the securities during periods A when the Investment Banking Department has access to material nonpublic information. B carefully monitor the flow of information between the Investment Banking Department and the brokerage operation. O contact the firms involved and request that they make this information available to the public before MLB J allows its clients to trade in these securities. D prohibit MLB J analysts from making buy or sell recommendations on this information until ten business days after the receipt of this information. Question 2 - 28579 If an analyst undertakes an independent consulting practice while employed they must get written permission from both their employer and the firm who is hiring their consulting services. This permission request to your consulting client should mention A the identity of your employer. B what your employer would charge for similar services. C that you are performing independently of your employer. D all of these choices are correct. Question 3 - 28580 Which of the following are violations of Standard II B Professional Misconduct Being A all of these choices are correct. B convicted of a felony. C intoxicated at the office. D convicted of multiple misdemeanors. Question 4 - 28581 If you suspect that a colleague is violating the law you should A consult with the company counsel to determine if in fact a law is .