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单选题 Holly Baker, CFA is explaining the CFA Institute Code of Ethics to a client. Which of the following statements could Baker make to most likely reflect disciplinary sanctions the CFA Institute may impose? Sanctions include
学科：职业道德与操守
时间：2026-03-30 14:42:44
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题目1单选题
Who most likely determines whether a violation of the CFA Institute Code and Standards or testing policies has occurred and what sanction should be imposed? TheA. Professional Conduct Staff and the Disciplinary Review CommitteeB. Professional Conduct StaffC. Disciplinary Review Committee
题目2单选题
Holly Baker, CFA is explaining the CFA Institute Code of Ethics to a client. Which of the following statements could Baker make to most likely reflect disciplinary sanctions the CFA Institute may impose? Sanctions includeA. fines for violationsB. revocation of membershipC. banishment from the industry
题目3单选题
William Wong, CFA, is an equity analyst with Hayswick Securities. Based on his fundamental analysis, Wong concludes that the stock of a company he follows, Nolvec Inc., is substantially undervalued and will experience a large price increase. He delays revising his recommendation on the stock from "hold" to "buy" to allow his brother to buy shares at the current price. Wong is least likely to have violated the CFA Institute Standards of Professional Conduct related toA. duty to clientsB. reasonable basisC. priority of transactions
题目4单选题
Hui Chen, CFA, develops marketing materials for an investment fund he founded three years ago. The materials show the 3- year, 2- year, and 1- year returns for the fund. He includes a footnote that states in small print "Past performance does not guarantee future returns." He does not claim compliance with GIPS in the disclosures or footnotes. He also includes a separate sheet showing the most recent semi- annual and quarterly returns, which notes that they have been neither audited nor verified. Has Chen most likely violated any CFA Institute Standards of Professional ConductA. NoB. Yes, because he included un- audited and unverified resultsC. Yes, because he did not adhere to the Global Investment Performance standards
题目5单选题
Charlie Mancini, CFA, is the Managing Director for Business Development at SV Financial (SVF), a large US- based mutual fund organization. Mancini has been under pressure recently to increase revenues. In order to secure business from a large hedge fund manager based in Asia, Mancini recently approved flexible terms for the fund's client agreement. To allow for time zone differences, the agreement permits the hedge fund to trade in all of SVF's mutual funds six hours after the close of US markets, which is prohibited by US regulators. Did Mancini violate any CFA Institute Standards of Professional ConductA. NoB. Yes, with regard to Fair DealingC. Yes, with regard to Fair Dealing and Material Nonpublic Information
题目6单选题
Ricardo Torres, CFA, is a well- respected telecommunications analyst for Pegasus Advisers. He is known for his thorough analysis, including interviews with suppliers, customers, and competitors. Torres has a strong following, and his research reports can often materially affect the market. As a result, Pegasus limits the distribution of his reports to Pegasus clients. After losing market share to Pegasus for over two years, Marco Rodrigo, a CFA candidate, reports Torres to the local securities regulator on suspicion of using insider information to make share recommendations. What CFA Institute Standard of Professional Conduct has Rodrigo most likely violatedA. MisconductB. Material Nonpublic InformationC. Market Manipulation
题目7单选题
Albert Nyakenda, CFA, was driving to a client's office where he was expected to close a multi- million- dollar deal when he was pulled over by a traffic policeman although he did not believe he had violated any traffic laws. When Nyakenda realized the policeman planned to wrongly ticket him for speeding, he offered to buy him "lunch" so that he could quickly get to his client's office. The lunch would cost significantly more than the ticket. The alternative was to go to the police station and file a complaint of being wrongly accused that would also involve going to court the next day to present his case. Did Nyakenda most likely violate the CFA Code of EthicsA. YesB. No, because he was wrongly accusedC. No, because the cost of lunch is more than the ticket
题目8单选题
Francesca Ndenda, CFA, and Grace Rutabingwa work in the same department for New Age Managers with Rutabingwa reporting to Ndenda. Ndenda learns that Rutabingwa received a Notice of Enquiry from the Professional Conduct Program at CFA Institute regarding a potential cheating violation when he sat for the CFA exam in June. As Rutabingwa's supervisor, Ndenda is afraid the behavior of Rutabingwa will be seen as a violation of the CFA Code and Standards. Does Ndenda most likely have cause for concernA. YesB. No, because her responsibilities do not applyC. No, not until Rutabingwa is found guilty of cheating
题目9单选题
Oni Erobo, CFA, the General Partner in a real estate development project, is responsible for completing the project within an 18- month period and within budget. Erobo will receive an equity stake of 20% in the project if it comes within budget. Concerned that project costs could escalate, the Limited Partners require Erobo to cap expenses at 15% above budget. Costs were within expectation up until the last month of construction when imported lighting fixture costs (accounting for roughly 5% of total costs) escalated by more than 50%. As a result, the overall return declined below the partners expected 35% ROI. Erobo did not inform the Limited Partners about the increased costs. Did Erobo most likely violate the CFA Code of Ethics and Standards of Professional ConductA. NoB. Yes, because returns are lower than expected by the PartnersC. Yes, because he did not disclose the increased costs to his Partners
题目10单选题
Danielle Deschutes, CFA, is a portfolio manager who is part of a 10- person team that manages equity portfolios for institutional clients. A competing firm, South West Managers, asks Deschutes to interview for a position within its firm and to bring her performance history to the interview. Deschutes receives written permission from her current employer to bring the performance history of the stock portfolio with her. At the interview, she discloses that the performance numbers represent the work of her team and describes the role of each member. To bolster her credibility, Deschutes also provides the names of institutional clients and related assets constituting the portfolio. During her interview Deschutes most likely violated the CFA Institute Standards of Professional Conduct with regards toA. the stock portfolio's performance historyB. her contribution to the portfolio's returnsC. providing details of the institutional clients
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