注册金融分析师-注册金融分析师一级模拟5.docx

注册金融分析师-注册金融分析师一级模拟5.docx注册金融分析师一级模拟5MorningSession1Paul,CFA,,whichstatementbestdescribeshisresponsibilitiesbasedontheStandardsofProfessionalConduct?Paulisnotresponsibleforthosedutieshehasdelegatedtohissubordinates•Paul1ssupervisoryresponsibilitiesonlyapplytoanalystswiththeCFAdesignation•、 ,AlennolongerattendsCFAInstitutesocietymeetingsandhasstoppedpayinghisCFAInstitutedues•AccordingtotheStandardsofPracticeHandbook,howshouldAlenrefertohisaffiliationwiththeCFAProgram?AlenBishop,CFA・AienBishop,CFA(retired).C・、 AccordingtotheStandardsofPracticeHandbook,urate?TheStandardrelatingtofairdealing:・mendationsandinvestmentactions•C•imposesadutywithrespecttobothclientsandprospectiveclients-4、 DorothKelly,ainvestmentadvisor,enrolledtotaketheLevelmCFAexaminationin2004;however,hedidnottaketheexam>WhenheremployeraskedheraboutherstatusintheCFAprogram,etheCFAcharterholdersoon•DidKellyviolatetheCFAInstitute1sStandardsofProfessionalConductrelatingtoprofessionalmisconductanddutytoemployer,respectively?Professionalmisconduct ・^TheStandardsofPracticeHandbookisleastlikelytorequireamemberofmemberfsfirmtodisclosewhichofthefollowingtoclientsandprospectiveclients?Underwritingrelationships•B•Market-makingactivities•C•ObligationtoabidebyCFAInstituteCodeofEthicsandStandardsofProfessionalConduct•6、HeidiKrueger,CFA,OuntsofJohnson,forwhomshemanagesaportfolioofenergystocks,andOsaki,