Tham khảo tài liệu 'đề thi cfa level 1 buổi chiêu phần 1', tài chính - ngân hàng, tài chính doanh nghiệp phục vụ nhu cầu học tập, nghiên cứu và làm việc hiệu quả | Schweser Printable Tests - Level 1 - EXAM 3 Afternoon - 180 minutes - Level 1 - EXAM 3 Afternoon You can print this page by going to file - print in your internet browser. Ethics - 18 Questions - 27 minutes Question 1 - 28628 To fulfill your obligation to inform your employer that they need to comply with AIMR s Code and Standards you A all of these choices are correct. B can notify your employer of their obligation via e-mail. need not inform them if they have publicly adopted the Code and Standards as part of their policy. must inform your immediate supervisor in writing of your obligation to comply with the Code and Standards. Question 2 - 29147 There are several procedures to adopt in order to comply with Standard IV B3 Fair Dealing. All of the following are procedures the firm should employ EXCEPT A establish rules about employee trading activities. B maintain a list of clients and their holdings. require clients to check in with management at least once per week to facilitate 7 simultaneous dissemination of information regarding recommendations. D develop trade allocation procedures. Question 3 - 29152 According to the Code and Standards a member is a beneficial owner if the member has all of the following EXCEPT A a direct or indirect pecuniary interest in the securities. B the power to vote or direct the voting of the shares of the securities or investments. C the power to approve and veto changes that affect shareholder wealth. D the power to dispose of or direct the disposition of the security or investment. Question 4 - 29156 Sue Johnson CFA has an elderly client with a very large asset base. The client intends to start divesting her fortune to various charities. Sue is on the Board of the local United Way. Sue A should not discuss anything regarding her client and her client s intentions with the local chapter of United Way in order to comply with Standard IV B5 Preservation 1 of Confidentiality. B C D can make this known to the United Way Board so that
