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[Level 2] [LEVEL II 模拟试题] Mock Level II - Question 1-5

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发表于 2015-7-15 16:09:06 | 显示全部楼层 |阅读模式
本帖最后由 Kakashi_8 于 2015-7-16 14:00 编辑 7 w& \( d' V+ G- G& K( F
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Question:1
Which of the following is a CORRECT statement of a member's duty under the Code and Standards?
A)
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A member is required to comply only with applicable local laws, rules, regulations, or customs even though the CFA Institute code and Standards may impose a higher degree of responsibility or a higher duty on the member.

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B)
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A member who trades securities in a foreign securities market where no applicable local laws or stock exchange rules regulate the use of material nonpublic information may take investment action based on this information.
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C)

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A member who trades securities in a country with less strict laws, rules, regulations, or customs may follow those laws if he discloses this information to his client.

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D)
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In the absence of specific applicable law or other regulatory requirements, the Code and Standards govern the member's actions.
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Question:2
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)

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respect.
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B)
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integrity.

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C)
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competence.
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D)
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humility.

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Question:3
According to the CFA Institute Standards of Professional Conduct, which of the following statements about members with supervisory responsibility is FALSE? Members with supervisory responsibility:
A)
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must make reasonable efforts to detect violation of laws, rules, regulations, and the Code and Standards.

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B)

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are expected to have in-depth knowledge of the Code and Standards and to apply this knowledge in discharging their supervisory responsibilities.
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C)

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are relieved of their supervisory responsibility if they delegate their supervisory duties to other members of CFA Institute.

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D)
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should bring an inadequate compliance system to the attention of the firm's senior managers and recommend corrective action.

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Question:4
Tony Calaveccio, CFA, is the manager of the TrustCo Small Cap Venture Fund in Toronto. He places trades for the fund with River City Brokerage. River City presents Calaveccio with a case of wine at Christmas each year. He estimates that the value of the case is about US $90. He does not disclose this fact in the prospectus of the small cap venture fund. This action is:
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A)
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not in violation of the Code and Standards.

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B)

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in violation of the Standard concerning independence and objectivity.
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C)

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in violation of the Standard concerning disclosure of conflicts to clients and prospects.
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D)

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in violation of the Standard concerning disclosure of additional compensation arrangements.

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Question:5
Adequate investment policy disclosure typically means clearly identifying the policy in:
A)

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the prospectus.

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B)
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a tombstone advertisement in the Wall Street Journal or Financial Times.
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C)
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the annual report.

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D)
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an annual letter to all fund shareholders.
CFA!用实力让梦想落地!
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 楼主| 发表于 2015-7-15 16:15:32 | 显示全部楼层
本帖最后由 Kakashi_8 于 2015-7-16 13:57 编辑
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答案和详解如下!
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游客,如果您要查看本帖隐藏内容请回复
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CFA!用实力让梦想落地!
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发表于 2015-7-17 10:29:40 | 显示全部楼层
谢谢分享!
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发表于 2016-5-11 11:39:42 | 显示全部楼层
thanksthanksthanksthanksthanksthanksthanksthanksthanksthanksthanksthanks
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发表于 2017-2-21 22:37:14 | 显示全部楼层
thanks~~~~~~
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发表于 2017-10-17 14:56:29 | 显示全部楼层
thanks for sharing
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发表于 2018-4-12 10:56:58 | 显示全部楼层
好棒哦!!!!!!!!!!!!
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发表于 2018-6-21 21:34:28 | 显示全部楼层
谢谢。。。。。。。。。。。。。。。。
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发表于 2018-8-15 11:26:19 | 显示全部楼层
谢谢楼主的分享
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发表于 2019-5-28 14:38:27 | 显示全部楼层
谢谢楼主分享!
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