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【单选】 If an analyst suspects a client or a colleague of planning or engaging in ongoing illegal activities, which of the statements about the actions that the analyst should take is most correct? According to the CFA Institute Standards of Professional Conduct, the analyst should:
A. disassociate from any illegal or unethical activity if the member has reasonable grounds to believe that the activity is illegal or unethical.
B. consult counsel to determine the legality of the activity and disassociate from any illegal or unethical activity if the member has reasonable grounds to believe that the activity is illegal or unethical.
C. consult counsel to determine the legality of the activity.
【单选】 CFA Institute believes:
A. that a maximum level of professional responsibility and conduct dictates that members be aware of and comply with laws, rules, and regulations governing their conduct.
B. that a minimum level of professional responsibility and conduct dictates that members be aware of and comply with laws, rules, and regulations governing their conduct.
C. that firms should comply with all domestic laws and regulations and that these laws also govern behavior in foreign markets, regardless of foreign laws and requirements.
【单选】 Robe Advisory Services operates an office in San Francisco, where it manages portfolios for its clients based in the United States. The firm also maintains an office in Tokyo, where it employs Sam Lee, CFA who researches Japanese stocks. According to the CFA Institute Standards of Professional Conduct, Lee is required to maintain knowledge of and comply with all applicable laws, rules, and regulations in:
A. both the U.S. and Japan, but not the CFA Institute Standards of Professional Conduct.
B. Japan, but not the U.S., and the CFA Institute Standards of Professional Conduct.
C. both the U.S. and Japan and the CFA Institute Standards of Professional Conduct.
【单选】 CFA Institute members should encourage their employers to do all of the following EXCEPT:
A. require employees to write personal ethics statements.
B. make clear that dishonest personal behavior reflects poorly on the profession.
C. conduct background checks on potential employees to ensure that they are of good character and eligible to work in the investment industry.
【单选】 For an employee with the CFA designation who works for a firm, which of the following is NOT necessary to meet the requirements of the Code and Standards?
A. It is recommended that their employer is aware of the Code and Standards.
B. Deliver a copy of the Code and Standards to their employer.
C. Recommend notifying their employer of their responsibility to follow the Code and Standards.
【单选】 Bob Smith, CFA, is an outside board member of Atlantic Technologies, but is not paid by the firm for his services. An employee at Atlantic informs Smith that Atlantic has improperly timed the booking of contracts to achieve the desired quarterly financial results. The misleading financial statements would turn losses into profits. Smith confers with the firm's legal counsel who indicates that this conduct is, in fact, illegal. Smith urges Sharon White, Atlantic's chief operating executive, to change the financial statements, but she refuses to do so. According to CFA Institute Standards of Professional Conduct, which of the following statements best describes what Smith should do in this situation?
A. Smith should promptly disassociate himself from Atlantic's actions by resigning as a director or by reporting the activities to the appropriate authorities.
B. Smith should immediately make CFA Institute aware of the situation at Atlantic.
C. Smith should wait until the next board meeting, which is scheduled in two weeks, to make other board members aware of the situation.
【单选】 Deloris Johnson, CFA, suspected that her intern, who was working without pay at her brokerage firm, had violated a federal securities regulation. Johnson discussed the matter with her company's legal counsel who said that the intern's conduct was illegal. According to the CFA Institute Code and Standards of Professional Conduct, Johnson can dissociate herself from this illegal activity by:
A. transferring supervision of the intern to another person.
B. telling her intern to stop such conduct.
C. reporting the activity to the appropriate authorities.
【单选】 John Martin, an analyst, discovers that Jurix Co. has knowingly misstated information in its prospectus. To comply with CFA Institute’s Code of Ethics and Standards of Professional Conduct, Martin's most appropriate course of action is to:
A. call the appropriate regulatory agency and report the action.
B. report the finding to the appropriate supervisory person in his firm.
C. resign from his job in order to disassociate from the potentially illegal activity.
【单选】 Mary Kim practices in the economically advanced country of Oldasia as well as in the emerging market 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. According to the CFA Institute Standards of Professional Conduct, Kim may:
A. not trade ahead of her clients in either country.
B. trade ahead of her clients in Newasia only.
C. trade simultaneously with her clients in Newasia only, as long as she has made full disclosure to her clients that she reserves the right to do this.
【单选】 Benito Salvatore, CFA, is licensed in the established country of Oldworld but has clients and makes investments in the emerging country of Newworld. The regulations of Oldworld prohibit licensed investment professionals from taking gifts or gratuities in any amount from vendors or persons connected with potential investments. The laws of Newworld are silent on this issue. Unsolicited, Salvatore is offered a vase worth US $75 by a Newworld trust company and a bronze statue worth US $200 by a Newworld company that Salvatore is considering as a potential investment. Salvatore is:
A. not permitted to accept either gift.
B. permitted to accept both gifts.
C. permitted to accept the vase but not the statue.
【单选】 Sometimes a CFA Institute member simply feels a law has been violated by his firm, and sometimes the member knows a law has been violated. Which of the following pairs of guidelines is CORRECT with respect to the first step a member should take in each case? The member should first contact:
A. the firm's counsel if he feels a law has been violated and the SEC if he knows a law has been violated.
B. the firm's counsel if he feels a law has been violated and contact his supervisor if he knows a law has been violated.
C. his supervisor in the firm if he feels a law has been violated and contact the firm's counsel if he knows a law has been violated.
【单选】 If a CFA Institute member knows that a fellow employee has violated a law, according to Standard I(A) the member is NOT required to do which of the following?
A. Report the employee violating the law to the appropriate governmental authority.
B. Seek legal advice.
C. Report the employee violating the law to the appropriate supervisor in the firm.
【单选】 Which of the following statements about the CFA Institute Code and Standards is most accurate? The Code and Standards:
A. require members to persuade the perpetrator to cease illegal activities.
B. do not require that members report legal violations to the appropriate governmental or regulatory organization.
C. prohibit members from accepting gifts that create a conflict with their employer's interest.
【单选】 A CFA Institute member conscientiously maintains records of changes in security regulations. The member notices that his colleagues do not, and does NOT say anything. Is this a violation of Standard I(A)?
A. Yes, and the member should disassociate from these colleagues.
B. Yes, because the member is bound by the Code of Ethics.
C. No, as long as the colleagues do not violate the new rules.
【单选】 Mega Securities, a multinational investment advisor based in the United States, employs the following analysts who practice in multiple jurisdictions. Melissa Black, CFA, resides in Country N, which has no securities laws or regulations, but does business in Country L, which has securities laws and regulations that are less strict than the Code and Standards. Tom White, a CFA Institute member, resides in Country L, but does business in Country S, which has securities laws and regulations that are stricter than the Code and Standards. According to the CFA Institute Code and Standards, which of the following statements about Black and White is CORRECT? Black must adhere to the White must adhere to the
A.

Code and Standards law of Country S

B.

law of Country L law of Country S

C.

law of Country N law of Country L
【单选】 A government committee has concluded that investment company fees should be disclosed to clients each quarter and has proposed new legislation to require this. Currently, the legal requirement is to report such data annually. In compliance with current legal requirements, Dolphin Investments discloses its fees annually. Eugene Shin, CFA, Dolphin's compliance officer, learns of the proposed changes but does not convert Dolphin's reporting to a quarterly basis. Shin's decision not to act:
A. is not a violation of the Code and Standards.
B. constitutes professional misconduct as defined in the Code and Standards.
C. is a violation of his duty to employer as defined in the Code and Standards.
【单选】 Nicholas Brynne, CFA, is a fixed-income analyst who trades in mortgage-backed securities (MBS). The MBS industry has seen sweeping regulatory changes since Brynne took his current position, and he now feels his understanding of applicable laws and regulatory standards is dated. Brynne must:
A. have all trades reviewed by his compliance department until he has obtained an expert level of knowledge in compliance.
B. update his understanding of applicable laws and regulatory standards relating to his position.
C. rely on his firm’s policies and procedures for guidance on legal and regulatory standards.
【单选】 Which of the following is a component of the Code of Ethics? CFA Institute members shall:
A. not knowingly participate or assist in any violation of laws, rules, or regulations.
B. use reasonable care and exercise independent professional judgment.
C. use particular care in determining applicable fiduciary duty.
【单选】 Which of the following is NOT part of the CFA Institute Code of Ethics. Members of CFA Institute will:
A. use reasonable care and exercise independent professional judgment.
B. strive to maintain and improve their competence and the competence of others in the profession.
C. recommend investments that maximize returns for a given level of risk.
【单选】 The CFA Institute Code of Ethics specifies that CFA Institute Members and Candidates must do all of the following EXCEPT:
A. use reasonable care and exercise independent professional judgment when engaging in professional activities.
B. refrain from any conduct that compromises the reputation or integrity of the CFA designation.
C. act with integrity, competence, diligence, respect, and in an ethical manner.
【单选】 According to the CFA Institute Code of Ethics, CFA Institute members shall:
A. maintain knowledge and comply with all applicable laws, rules and regulations.
B. preserve the confidentiality of information communicated by clients, prospects, or employers concerning investment matters.
C. act with integrity, competence, diligence, respect, and in an ethical manner when dealing with the public, clients, prospective clients, employers, employees, colleagues in the investment profession, and other participants in the global capital markets.
【单选】 The first component of the Code of Ethics does NOT explicitly say that a CFA Institute member will act with which of the following?
A. Integrity.
B. Solemnity.
C. Competence.
【单选】 Which of the following is NOT part of the CFA Institute Code of Ethics?
A. Independent judgment.
B. Contractual provisions.
C. Competence.
【单选】 The Code of Ethics does NOT explicitly say that a CFA Institute member shall do which of the following?
A. Actively lobby for new laws to protect the public.
B. Reflect credit on the profession.
C. Act with integrity.
【单选】 Which of the following is a component of the Code of Ethics? CFA Institute members shall:
A. strive to maintain and improve their competence and the competence of others in the profession.
B. act for the benefit of their clients and place their clients' interests before their own.
C. disclose to their employer all matters that reasonably could be expected to interfere with their duty to their employer or ability to make unbiased and objective recommendations.
【单选】 In dealing with the public and others, the CFA Institute Code of Ethics indicates that CFA Institute members will act with:
A. confidence, knowledge, and high ethical standards.
B. honesty, professionalism, and goodwill.
C. integrity, competence, and respect.
【单选】 The CFA Institute Code of Ethics least likely requires a Member or Candidate to:
A. Strive to maintain and improve the competence of others in the profession.
B. Understand and comply with all applicable laws, rules, and regulations.
C. Practice and encourage others to practice in a professional and ethical manner that will reflect credit on members and their profession.
【单选】 The first component of the Code of Ethics does NOT explicitly say that a CFA Institute member will act in a certain manner with respect to which of the following groups?
A. Colleagues in the investment profession.
B. The public.
C. The SEC.
【单选】 Which of the following is least likely a component of the Code of Ethics? In dealing with the public, clients, prospects, employers, employees, and fellow members, CFA Institute members shall act with:
A. integrity.
B. respect.
C. humility.
【单选】 Which of the following is least likely a component of the Code of Ethics? In dealing with the public, clients, prospects, employers, employees, and fellow members, CFA Institute members shall act with:
A. integrity.
B. respect.
C. humility.

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