注册金融分析师-注册金融分析师一级分类模拟1.doc注册金融分析师一级分类模拟1 单项选择题 1、 An investment management firm has been hired by SEK Corporation to work on an initial publie offering for the company. The firm1s brokerage unit now has a sell recommendation on SEK, but the head of the investment-banking department has asked the head of the brokerage unit to change the recommendation from sell to buy. According to the Standards^ the head of the brokerage unit would be permitted to: increase the recommendation by no more than one increment (in this ease, to a hold recommendation)・ place the company on a restricted list and give only factual information about the company. C・ reassign responsibilLity for rating the stock to the head of the investment-banking department ・ 2、 Scott, CFA, is an analyst for M&D Investment Managers ・ He has recently accepted an invitation to visit the facilities of ChemCo^ a producer of chemical compounds, ChemCo offers to pay for Scott1s accommodations in a penthouse suite at a luxury hotel and allow Scott to use the firm1 s private jet to travel to its three facilities located in New York, Boston and Philadelphia ・ In addition^ ChemCo offers two tickets to a high-society dinner in New York and a calculator with the ChemCo logo. Scott declines to use Chemco 1 s corporate jet or to allow the firm to pay for his accommodations but accepts the calculator and the tickets to the dinner (which he discloses to his employer) since he will be Able to market his firm1s mutual funds to other guests at the dinner・ Has Scott violated the Code and Standards? A. Yes ・ B・ No, since he is using the gifts accepted to benefit his employer1s interests ・ C・ No, since the gifts he accepts were fully disclosed in writing to his employer ・ 3、 Kenneth, CFA, has just started work as a trainee with Jerron Asset Management Co・, a small regional money management firm started six months ago. He has been told to make a few cold calls and round up some new clients ・ In which of the following statement has Kenneth least
