一级经典试题.pdfVIP

SAMPLE EXAM MORNING SESSION The following 18 questions relate to Ethics. ® 1. An analyst subject to AIMR Standards of Professional Conduct, to comply with StandardI(A) Fundamental ReSponsibilities, should do all of the following EXCEPT: A. learn the laws and rules governing his or her conduct. B. seek the advice of counsel when in doubt concerning the requirements of the law. C. implement and/or follow internal compliance procedures designed to prevent legal violations. D. adopt AIMRs Global Investment Performance Standards (GiPS®) for reporting investment results. 2. Bob Barkley, CFA~, has been called to testify in court as a professional expert. IfBarkley needs to reference research conducted by his firms research staff, which of thefollowing statements is TRUE? Under: A. Standard II(C), Prohibition against Plagiarism, Barkley should credit the work to hisfirmsresearch staff. B. Standard IV(B.5) Preservation of Confidentiality, Barkley will violate this standard if he :references research conducted by his firms research staff. C. Standard III(C), Disclosure of Conflict to Employer, Barkley will violate this standard if hereferences research conducted by his firms research staff. D. Standard III(B), Professional Misconduct, Barldey should confer with the firms counsel andrefuse to testify on the grounds that his testimony may tend to incriminate him. 3. AnnSmith,CFA,callsBillJones, CFA, and tells him that her research shows that Biokem Companyis overpriced. After their conversation, Jones arranges a conference