tailieunhanh - Đề thi CFA Level 1 Buổi chiêu Phần 4

Đề thi CFA Level 1 và Phần Đáp án Nguồn: webchungkhoan | Correct Answers 1 A 2 C 3 C 4 A 5 C 6 A 7 A 8 D 9 D 10 C 11 B 12 D 13 A 14 B 15 A 16 C 17 A 18 C 19 A 20 B 21 A 22 B 23 D 24 C 25 C 26 D 27 B 28 A 29 A 30 D 31 B 32 D 33 C 34 B 35 D 36 A 37 B 38 D 39 A 40 A 41 C 42 C 43 C 44 D 45 C 46 D 47 B 48 D 49 A 50 D 51 D 52 B 53 B 54 C 55 D 56 C 57 D 58 D 59 B 60 D 61 D 62 D 63 C 64 C 65 A 66 C 67 B 68 C 69 C 70 D 71 A 72 B 73 B 74 C 75 B 76 A 77 C 78 B 79 B 80 C 81 B 82 D 83 A 84 D 85 D 86 C 87 D 88 A 89 A 90 A 91 A 92 D 93 B 94 B 95 D 96 D 97 A 98 C 99 D 100 C 101 B 102 B 103 C 104 C 105 D 106 A 107 A 108 C 109 B 110 D 111 D 112 C 113 A 114 C 115 D 116 A 117 A 118 D 119 B 120 A Answers 1 A Standard III applies. Standard III A1 states Members shall inform their employer in writing through their direct supervisor that they are obligated to comply with the Code and Standards and are subject to disciplinary sanctions for violations thereof. AIMR considers the responsibility required by III A to be an integral part of professional practice. In writing includes any form of communication that can be documented even e-mail. Employer means immediate direct supervisor. Members should not assume that someone else will take care of it. New employees need to be alerted to the expectation that their conduct will meet high ethical standards. 2 C The fair dealing standard does not require clients to check in with management at least once per week to facilitate simultaneous dissemination of information regarding recommendations. Simultaneous dissemination is important though. 35 3 C The power to approve or veto changes that affect shareholder wealth is not a requirement of beneficial ownership. 4 A Sue should not discuss anything regarding her client and her client s intentions with the local chapter of United Way in order to comply with Standard IV B5 Preservation of Confidentiality. It does not matter that her client intends to give money to charities in the near future. 5 C There are at least three misrepresentations. First that Jamie .