cfa一级经典模拟题.docVIP

Schweser Printable Tests - Level 1 - EXAM 5 Afternoon - 180 minutes - Level 1 - EXAM 5 Afternoon You can print this page by going to file - print in your internet browser. Ethics - 18 Questions - 27 minutes Question: 1 - 29588 Benito Salvatore, CFA, is licensed in the established country of Oldworld but has clients and makes investments in the emerging county of Salvatore is: A) not permitted to accept either gift. B) permitted to accept the vase but not the statue. C) permitted to accept the statue but not the vase. D) permitted to accept both gifts. Question: 2 - 29589 Georgia Jones, CFA, is an analyst for Johnson, Thomas Co. She also serves as an outside director for Dewey Manufacturing, Inc. In the course of her duties, she begins to believe that Dewey’s income statement for the most recent period may have been misstated. Georgia should do all of the following EXCEPT: A) consult with Dewey Manufacturings legal counsel. B) consult with Johnson, Thomas legal counsel. C) refrain from voting to approve any of Deweys financial statements that include the element in question. D) inform the Securities and Exchange Commission. Question: 3 - 29590 Bill Owens obtained his CFA charter in 1999, and began using the following letterhead: William J. Owens,* CFA** 222 Main Street Bank Building Anywhere,? USA ? ??????????? *member, Association for Investment Management and Research ??????????**received CFA charter September 1999 In 2001, Owens did not renew his membership in AIMR.? Accordingly, he must modify his letterhead by doing all of the following EXCEPT: A) deleting the CFA following his name. B) deleting the reference to when he received his CFA charter. C) deleting the reference to AIMR membership. D) none; all references to AIMR and CFA must be deleted. Question: 4 - 29591 Reginald Brown, CFA, has been convicted three times in a year of misdemeanor driving while intoxicated. Brown’s membership in AIMR: A) because his actions reflect poorly on his professional