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单选题 Alicia Garcia, CFA, is a broker. Her firm's analyst changes a prior "Buy" recommendation on Ajax Data ( ) to "Sell" and Garcia publishes the recommendation change on the firm's website. Later that day, one of Garcia's clients contacts her with an order directing Garcia to buy shares of AD for the client's non-discretionary account. According to the Standard relating to fair dealing, Garcia should
学科：默认课程
时间：2026-05-08 18:01:09
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题目1单选题
Robin Herring, CFA, is a government bond research analyst at an independent credit rating agency. A competitor credit rating agency just downgraded the bonds of a government Herring follows. Herring notes that all of the information in the competitor's report was covered in his analysis published last week. In the past, Herring has been slow to downgrade bonds, so he starts to doubt his own analysis after seeing the competitor's report. Herring decides to reissue his credit rating of this government bond and match the competitor's downgrade. In his revised report, Herring states that new information has been made available to justify the downgrade. Herring posts the revision on the credit rating agency's website and provides it by email to all clients who received the original. Herring's rating change least likely violated which of the following StandardsA. Fair dealingB. Diligence and reasonable basisC. Communication with clients and prospective clients
题目2单选题
According to the Standard related to communication with clients and prospective clients, members mustA. only distinguish between fact and opinion in the presentation of investment analysesB. only promptly disclose material and nonmaterial changes in the investment processes they use to select securitiesC. both distinguish between fact and opinion in the presentation of investment analyses and promptly disclose material and nonmaterial changes in the investment processes they use to select securities
题目3单选题
Meera Doka, CFA, manages an equity fund for clients. One day, the fund experiences a large loss due to an event unforeseen by all market participants. Prior to the event, Doka failed to disclose the risk of this event occurring to her clients. One month later, Doka decides to outsource 5% of the fund's assets to an external manager. She does not inform her clients of this change because the external manager follows an investment process that is very similar to her fund's process. Are Doka's actions consistent with the Standard relating to communication with clients and prospective clientsA. YesB. No, because she failed to disclose the risk that resulted in the large lossC. No, because she failed to inform her clients about outsourcing 5% of the fund's assets
题目4单选题
A member has a client who pays higher fees for premium services. The Standards most likely allow the member to provide that client withA. larger allocations of oversubscribed IPOsB. earlier access to investment recommendations and rating changesC. direct access to research analysts to discuss published investment ratings in greater detail
题目5单选题
Maria Estefan, CFA, recently founded Inversiones Unidas (IU). Estefan has a 5-year fund management track record as part of a team with her previous firm, Alto Investments ( ). Estefan advertises her past 5-year track record as her performance at IU without reference to AI or her role on the team at AI. Estefan most likely violates the StandardsA. only by advertising her performance without reference to AIB. only by advertising her performance without reference to her role on the team at AIC. both by advertising her performance without reference to AI and by advertising her performance without reference to her role on the team at AI
题目6单选题
Jan Ho, CFA, is an advisor who manages portfolios for endowment funds that share a similar goal of conservative growth. He has thoroughly researched and recommended the purchase of a thinly-traded stock for his clients' portfolios. To execute the trades, Ho follows his policy of prioritizing purchases for his largest clients first. Ho has most likely violated the Standard relating toA. suitabilityB. fair dealingC. priority of transactions
题目7单选题
Alicia Garcia, CFA, is a broker. Her firm's analyst changes a prior "Buy" recommendation on Ajax Data ( ) to "Sell" and Garcia publishes the recommendation change on the firm's website. Later that day, one of Garcia's clients contacts her with an order directing Garcia to buy shares of AD for the client's non-discretionary account. According to the Standard relating to fair dealing, Garcia shouldA. refuse to execute the orderB. advise the client of the recommendation change before accepting the orderC. accept and immediately execute the order because the client's account is non-discretionary
题目8单选题
According to the guidance provided by the Code and Standards, which of the following is not a recommended procedure for compliance with the Standard relating to material nonpublic informationA. Physical separation of departmentsB. Adopt disclosure procedures for material nonpublic informationC. Avoid public dissemination of material nonpublic information received
题目9单选题
According to the recommended procedures for compliance with the Standard relating to loyalty, prudence, and care, a member who has control of client assets shouldA. vote proxies in the best interests of her firmB. submit quarterly itemized account statements to her clientsC. combine her clients' assets with other parties' assets to reduce administrative costs
题目10单选题
Mark Joy, CFA, manages the pension fund for Bank Ltd. ( ). Joy believes that BL stock is overvalued. BL's CEO requests Joy purchase BL stock for BL's pension fund to help prevent a hostile takeover of BL. Joy complies and his purchase of BL stock for the pension fund helps prevent the takeover. Subsequently, BL's stock price increases, which also increases the value of BL's pension fund. Has Joy most likely violated the Standard relating to loyalty, prudence, and careA. NoB. Yes, because BL stock subsequently increasedC. Yes, because Joy complies with the CEO's request
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