CFA道德在2022年CFA教材中是zui后一章节,那在备考2022年CFA道德你复习的如何呢?是不是掌握了很多知识点呢?今天跟着小编一起看看吧!

Sue Kim, CFA, a US citizen, works as an analyst for a subsidiary of a US investment firm on a small island that attracts offshore investment accounts. Local securities laws allow insider trading. While having dinner with the CEO of a local company, Kim learns that the firm is in negotiations to be acquired for a significant premium. Would Kim most likely comply with the CFA Institute Standards if she purchased the company’s shares for her client accounts?

A.No.

B.Yes, local laws allow insider trading.

C.Yes, if she receives permission from compliance department.

答案:A

解析:CFA准则中“知法守法”一条要求,如果涉及多个法律法规、CFA的道德准则,遵守其中zui严格的。虽然当地法律允许内幕交易,但是CFA准则不允许,所以应该遵循CFA准则的要求。

Ward is scheduled to visit the corporate headquarters of Evans Industries. Ward expects to use the information he obtains there to complete his research report

A. Accept the expense-paid trip and write an objective report.

B. Pay for all travel expenses, including costs of meals and incidental items.

C. Accept the expense-paid trip but disclose the value of the services accepted in the report.

答案:B

解析:根据“独立客观性”,zui佳方案是任何可能会影响到独立客观的礼物/安排,zui好都不要接受。因此,由Ward支付所有费用为正确答案。

答案C详接受安排但披露,该解决方案不如A避免利益冲突那样合适。

CFA知识点的学习是帮助学员更好掌握CFA的基本知识点,如果学员还有更多想要学习的内容,可以在线咨询师。