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CFA一级考试真题【职业伦理】

发表时间: 2015-07-15 14:07:07 编辑:

CFA一级考试真题【职业伦理】; 若说CFA一级考试职业伦理重点,那么每一块内容中的核心部分就是它的重点,在做CFA真题的过程中,去纠正自己的弱点,这些就是重点。

Asian Bank was located in a country with strict laws prohibiting intellectual property transfers. Katty, CFA, is responsible for a team of research analysts at Aisan Bank. Katty believes the work of one of her analysts, Jack, CFA, is not completed as carefully and thoroughly as it should be. Then to confirm her suspicions, Katty completely reviews all of Jack’s research. Katty then confronts Jack about his poor quality research and tells him he can leave Asian voluntarily or be fired.

Jack chooses to leave the bank, walking out with his personal papers and research notes that were created prior to his joining Asian. Subsequently, Jack uses this intellectual property to help establish a high-net-worth investment advisory firm. When a prospective client asks Jack if he left Asian because of questions on the quality of his work, Jack says it was to start his own business. Jack least likely violated the CFA Institute Standards of Professional Conduct concerning his:

A、research.

B、intellectual property.

C、prospective client disclosure.

Solution: B

B is correct because the analyst has not violated Standard related to intellectual property because there is no indication the analyst was ignorant of, or has violated, any law related to intellectual property, because these documents were created by the analyst prior to his employment at Aian.

若说CFA一级考试职业伦理重点,那么每一块内容中的核心部分就是它的重点,抓一条主线出来,从粗线条开始抓,直到无穷细。因为内容是英语,对英语的阅读有高度要求,必须让自己看英文如看中文一样不别扭为止。在做CFA真题的过程中,去纠正自己的弱点,这些就是重点。

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