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1、Micheal, a Level III CFA candidate, is the business development manager for an investment management firm with high-net-worth retail clients throughout Africa. This investment management firm introduced listed Kenyan REITs (real estate investment trusts) to its line of investment products based on new regulations introduced in Kenya to diversify its product offering to clients. The product introduction was based on diligence and reasonable basis coming after months of researching Kenyan property correlations with other property markets and asset classes in Africa. Micheal was assigned as part of the sales team that will introduce this product to its clients across Africa. Micheal determines that most of client’s portfolios would benefit from the diversification. By promoting the Kenyan REITs for client portfolios as planned, Micheal would least likely violate which of the following standards?
A. Suitability
B. Independence and Objectivity
C. Knowledge of the Law
Solution: B
2、Jimmy, CFA, is a portfolio manager at ABC Securities. He has reasonable grounds to believe his colleague,Shirly is engaged in unethical trading activities by violating local securities laws. However, Jimmy is not Shirly’s supervisor, and his activities do not impact Jimmy or any of the portfolios for which he is responsible. Based on the Code and Standards, the recommended course of action is for Jimmy to:
A.report Shirly to the appropriate governmental or regulatory organization.
B.report Shirly to ABC's trading supervisor or compliance department.
C.not take any action because he is not directly involved.
Solution: B
3、Rain is recently enrolled to take the Level I CFA exam. One of her friend Wilson purchased Level I study materials from a well-known CFA review program the previous year. Wilson photocopied the previous year's copyrighted materials and sold it to Rain to help her study. Based on the description. who most likely violated the CFA Institute Code of Ethics or any Standards of Professional Conduct?
A. Both violated.
B. Only Wilsonl violated.
C. Neither violated.
Solution: C
4、Lily Chen, CFA, as a member of a political group, advocates less governmental regulation in all aspects of life. The country she works has minimal local securities laws and does not prohibit insider trading. Chen’s investment strategy reflects her policies stated above. That is she follows her country’s mandatory legal and regulatory requirement. Which of the following actions by Chen would be most consistent with the CFA Institute Standards of Professional Conduct?
A. Report the discrepancy to CFA Institute's Professional Conduct Program.
B. Provide a disclaimer in marketing materials indicating prices are as of a specific date.
C. Correct the asset information and provide updates to prospective clients.
Solution: C
5、Valery, CFA, is a management consultant currently working with a financial services firm. The firm’s interests lie in curtailing its high staff turnover, particularly among CFA charterholders. Recently,4 of 9 its senior managers left the company. All of them cited systemic unethical business practices as the reason for their leaving. Which of the following is least appropriate for Valery to recommend to curtail staff turnover by encouraging ethical behavior?
A. Encourage staff retention by offering increased benefits.
B. Create, implement, and monitor a corporate code of ethics.
C. Implement a whistleblowing policy.
Solution: A
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