Đề thi CFA Level 1 Phần Đáp án Nguồn: webchungkhoan | Vietnam Stock Exchange Forum - Diễn đàn chứng khoán Việt Nam http Schweser Printable Test Entry Form Back to Schweser Online Test 613412 Correct Answers 1 A 2 D 3 A 4 A 5 B 6 C 7 A 8 D 9 A 10 A 11 B 12 C 13 B 14 A 15 D 16 D 17 C 18 A 19 C 20 D 21 A 22 B 23 C 24 A 25 A 26 B 27 B 28 A 29 C 30 C 31 D 32 C 33 B 34 B 35 A 36 C 37 D 38 A 39 B 40 D 41 A 42 B 43 B 44 A 45 D 46 B 47 D 48 D 49 C 50 D 51 C 52 B 53 B 54 B 55 C 56 A 57 A 58 C 59 D 60 A 61 C 62 D 63 A 64 C 65 D 66 C 67 A 68 D 69 D 70 C 71 B 72 B 73 B 74 C 75 B 76 D 77 D 78 A 79 A 80 B 81 B 82 D 83 D 84 B 85 D 86 B 87 A 88 B 89 C 90 A 91 D 92 A 93 B 94 D 95 A 96 C 97 D 98 C 99 D 100 B 101 D 102 C 103 A 104 B 105 C 106 A 107 D 108 D 109 D 110 B 111 A 112 B 113 A 114 C 115 C 116 D 117 D 118 C 119 C 120 A Answers 1 A Standard V A Prohibition against Use of Material Nonpublic Information applies in this situation. Standard V A suggest the use of fire walls to protect the firm and conform to the Standards. A fire wall is an information barrier designed to prevent the communication of material nonpublic information between departments of a firm. In this situation MLB J should remove any controversial companies from the research universe and put them on a restricted list so that the firm disseminates only factual information about the company. A restricted list is one example of a fire wall. The statement carefully monitor the flow of information between the Investment Banking Department and the brokerage operation should read .restrict the flow of information. Cổng thông tin chứng khoán Việt Nam - http 33 Vietnam Stock Exchange Forum - Diễn đàn chứng khoán Việt Nam http 2 D Standard III B Duty to Employer applies in this situation. The Standards of Practice Handbook lists all three choices above as items a member should mention in the permission request to the consulting client. 3 A Standard II B Professional Conduct applies in this situation. Generally complying with Standard .
