年12月cfa一级长线班电子版cfa一级历年mock exam2008-2018 2015_cfa_level_1_mock_exam_afternoon.pdfVIP

最新CFAFRM备考资料www.CFAFRM.cn 2015 Level I Mock Exam PM Questions and Answers 1. Carolina Ochoa, CFA, is the chief financial officer at Pantagonia Computing. Ochoa is currently the subject of an inquiry by Pantagonias corporate investigations department. The inquiry is the result of an anonymous complaint accusing Ochoa of falsifying travel expenses for senior management related to a government contract. According to the CFA Institute Code of Ethics and Standards of Professional Conduct, it is most appropriate for Ochoa to disclose the allegations: A. to CFA Institute when the investigation concludes. B. on her Professional Conduct Statement. C. to CFA Institute if the allegations are proven correct. Answer = B Members and candidates must self-disclose on the annual Professional Conduct Statement all matters that question their professional conduct, such as involvement in civil litigation or criminal investigations or being the subject of a written complaint. CFA Level I Code of Ethics and Standards of Professional Conduct 2. Ileana Inkster, CFA, was recently offered a senior management position within the trust department at a regional bank. The department is new, but the bank has plans to expand it significantly over the next few months. Inkster has been told she will be expected to help grow the client base of the trust department. She is informed that the trust department plans to conduct educational seminars and pursue the attendees as new clients. Inkster notices that recent seminar advertisements prepared by the banks marketing department do not mention investment products will be for sale at the seminar. The ads indicate attendees can learn how to immediat