"morality" exercise: The CFA Program
学习是一个不断积累的过程，每天学习一点，每天进步一点！为了帮助大家更高效地备考2021年CFA考试，正保会计网校每日为大家上新CFA习题供大家练习。让网校与您一起高效备考2021年CFA考试，梦想成真！
Questions 1:
Jeffrey Jones passed the Level I CFA examination in 1997 and the Level II examination in 2009. He is not currently enrolled for the Level III examination. According to the CFA Institute Standards of Professional Conduct, which of the following is the most appropriate way for Jones to refer to his participation in the CFA Program?
A、 Jeffrey Jones, CFA (expected 2014)
B 、Candidate in the CFA Institute CFA Program
C 、Passed Level II of the CFA examination in 2009
Questions 2:
Nicholas Bennett, CFA, is a trader at a stock exchange. Another trader approached Bennett on the floor of the exchange and verbally harassed him about a poorly executed trade. In response, Bennett pushed the trader and knocked him to the ground. After investigating the incident, the exchange cleared Bennett from any wrongdoing. Which of the following best describes Bennett’s conduct in relation to the CFA Institute Code of Ethics or Standards of Professional Conduct? Bennett:
A、 did not violate any Code or Standard.
B 、violated the Professional Misconduct Standard.
C 、violated both Misconduct and Integrity of Capital Markets Standards.
C is correct because no designation exists for someone who has passed Level I, Level II, or Level III of the CFA exam [Standard VII(B)]. Persons who have passed a certain level of the exam may state that they have completed that level. A person can only state he is a Candidate if he is currently enrolled in the CFA Program. It is also an improper reference to use “expected” a part of the designation.
A is incorrect as it is an improper reference to use “expected” as part of the designation.
B is incorrect as a person can only state he is a Candidate if he is currently enrolled in the CFA Program.
B is correct because the CFA Institute Code of Ethics requires members to act with integrity, competence, diligence, respect, and in an ethical and professional manner; the Standards of Professional Conduct relating to Professional Misconduct state members and candidates must not commit any act reflecting adversely on their professional reputation, integrity, or competence. Bennett’s actions violated the Code of Ethics and the Standard relating to Professionalism but not the Standard relating to Integrity of Capital Markets.
A is incorrect because Bennett’s actions violated the Code of Ethics and the Standard relating to Professionalism.
C is incorrect because Bennett’s actions violated the Code of Ethics and the Standard relating to Professionalism but not the Standard relating to Integrity of Capital Markets.
成功=时间+方法，自制力是这个等式的保障。世上无天才，高手都是来自刻苦的练习。而人们经常只看到“牛人”闪耀的成绩，其成绩背后无比寂寞的勤奋。小编相信，每天都在勤奋练习，即使是一点点的进步，大家一定可以成为人人称赞的“牛人”。更多CFA考试资讯，点击了解>
