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- 2021-04-04 发布于北京
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最新CFAFRM备考资料www.CFAFRM.cn
29133318632
ck Exam - PM
March Mock Exam - PM
399388
Question block created by wizard
You h e 180 minutes to complete this session.
1. Linda Chin, CFA, is a member of a political group advocating less ernmental regulation in all
aspects of life. She works in a country where local securities l are minimal and insider trading is
not prohibited. Chins politics are reflected in her investment strategy, where she follows her
countrys mandatory legal and regulatory requirements. Which of the following actions by Chin would
be most consistent with the CFA Ins ute Standards of Professional Conduct?
A. Continuing her current investment strategy
B. Following the CFA Ins ute Standards of Professional Conduct
C. Disclosing her political advocacy to clients
Answer = B
Guidance for Standards I–VII, CFA Ins ute
Standard I(A): Knowledge of the Law, Standard II(A): Material Nonpublic Information
Standard I(A): Knowledge of the Law requires members and candidates to comply with the more
strict law, rules, or regulations and follow the highest requirement, which in this case would be the
CFA Ins ute Standards of Professional Conduct. Standard II(A): Material Nonpublic Information
would also apply because members and candidates who possess material nonpublic information
that could affect the value of an investment must not act or cau
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