CFA考试一级章节练习题精选0330-22（附详解）
沉欲小西1、A central bank fines a commercial bank it supervis for not following statutory regulations regarding nonperforming loan provisions on three large loans as a result of the bank's loan provisioning policy. Louis Marie Buffet, CFA, sits on the board of directors of the commercial bank as a non-executive director, reprenting minority shareholders. He also chairs the bank's internal audit committee that determines the loan provisioning policy of the bank. Mercy Gatabaki, CFA, is the bank's external auditor and follows international auditing standards whereby she tests the loan portfolio by randomly lecting loans to check for compliance in all aspects of central bank regulations. Which charterholder is most likely in violation of the Code and Standards?【单选题】抿身份
A.Gatabaki追剧英语
B.Buffet
C.Both
正确答案:B
答案解析:Buffet sat on the audit committee that determined the bank's provisioning policies that were contrary to the statutory regulations of the central bank. As a result, he most likely violated Standard I–Professionalism by not abiding by regulations of a regulatory body. Gatabaki did not violate Standard I - Professionalism becau it is not apparent she knowingly facilitated the incorrect provisioning policy.
2014 CFA Level I
"Guidance for Standards I-VII," CFA Institute
Standard I(A)
1、Francesca Ndenda, CFA, and Grace Rutabingwa work in the same department f
寒食节的诗or New AgeManagers, with Rutabingwa reporting to Ndenda. Ndenda learns that Rutabingwa received a Noticeof Enquiry from the Professional Conduct Program at CFA Institute regarding a potential cheatingviolation when she sat for the CFA exam in June. As Rutabingwa's supervisor, Ndenda is afraid thatRutabingwa's behavior will be en as a violation of the Code and Standards. Does Ndenda mostlikely have cau for concern?【单选题】
A.No, not until Rutabingwa is found guilty of cheating
B.Yes
C.No, becau her responsibilities do not apply
正确答案:C
答案解析:A supervisor's responsibilities relate to detecting and preventing violations by anyone subject to theirsupervision or authority regarding activities they supervi. Ndenda had no way of detecting and/orpreventing Rutabingwa fro
m cheating during the CFA exam, if in fact that is what she did, becau itwas an event she did not attend.
CFA Level I
"Guidance for Standards I-VII," CFA Institute
Standard IV(C)
1、Kim Klausner, CFA, monitors veral hundred employees as head of compliance for a large investment advisory firm. Klausner has always ensured that his company’s compliance program met or exceeded tho of its competitors. Klausner, who is going on a long vacation, has delegated his supervisory responsibilities to Sue Chang. Klausner informs Chang that her responsibilities include detecting and preventing violations of any capital market rules and regulations, and the CFA Institute Code and Standards. Klausner least likely violated the CFA Institute Standards of Professional Conduct by failing to instruct Chang to also consider:【单选题】对党委班子的意见建议
A.firm policies.
B.legal restrictions.
C.industry standards.
电子版个人简历正确答案:C
答案解析:“Guidance for Standards I–VII”, CFA Institute
2013 Modular Level I, Vol. 1, Reading 2, Standard IV (C) Responsibilities of Supervisors
Study Session 1–2–b
Distinguish between conduct that conforms to the Code and Standards and conduct that violates the Code and Standards.
C is correct becau the requirement under Standard IV(C) Responsibilities of Supervisors does not include any reference to industry standards. Standard IV(C) requires supervisors to instruct tho subordinate to whom supervision is delegated about detection methods to prevent violations of laws, rules, regulations, firm policies and the CFA Institute Code and Standards.
21朵玫瑰花代表什么意思
1、According to the CFA Institute Code of Ethics and Standards of Professional Conduct, trading on material nonpublic information is least likely to be prevented by establishing:【单选题】
对口支援A.fire-walls.
B.watch lists.
C.lective disclosure.
正确答案:C
答案解析:CFA Institute Standards
2010 Modular Level I, Vol. 1, pp. 36-42
Study Session 1-2-c
Recommend practices and procedures designed to prevent violations of the Code of Ethics and Standards of Professional Conduct
C is correct as lective disclosure occurs when companies discriminate in makin
g material nonpublic information public. Corporations that disclo information on a limited basis create the potential for insider-trading violations. Standard II (A).
1、Lawrence Hall, CFA, and Nancy Bishop, CFA, began a joint rearch report on Stamper Corporation. Bishop visited Stamper’s corporate headquarters for veral days and met with all company officers. Prior to the completion of the report, Bishop was reassigned to another project. Hall utilized his and Bishop’s rearch to write the report but did not include Bishop’s name on the report, becau she did not agree with Hall’s conclusion included in the final report. According to the CFA Institute Standards of Practice Handbook, did Hall violate any CFA Institute Standards of Professional Conduct?【单选题】
