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CFA道德规范和专业行为准则练习题之CFA名称

来源：高顿网校 2021-06-28

CFA职业道德与专业行为标准（CFA Ethical and Professional Standards）向来是CFA一级和CFA二级考试的重点之一（CFA一级的比重达15%）。

在CFA考试中，涉及到职业道德与专业行为标准的考题往往最先出现。迅速并准确解答这部分考题，不仅有助于从考试开始就建立起信心，也能提高通过考试的机率。

CFA道德规范和专业行为准则练习题＂Morality＂Exercise:The CFA Designation

Questions 1:

Molly Burnett,CFA,is a portfolio manager for a fund that only invests in environmentally friendly companies.A multinational utility company recently acquired one of the fund’s best performing investments,a wind power company.The wind power company’s shareholders received utility companyshares as part of the merger agreement.The utility has one of the worst environmental records in the industry,but its shares have been one of the top performers over the past 12 months.Because the utility pays a high dividend every three months,Burnett holds the utility shares until the remaining two dividends are paid for the year then sells the shares.Burnett most likely violated the CFA Institute Standard of Professional Conduct concerning:

A、suitability.

B、disclosure of conflicts.

C、independence and objectivity

【Answer to question 1】A

【analysis】

A is correct because the utility is not a suitable investment for a fund that only invests in companies with good environmental records.Continuing to hold this investment,therefore,was a violation of Standard III(C)–Suitability.

B is incorrect because the violation concerns an unsuitable investment.Although the manager has a conflict of interest concerning her desire to hold onto a high dividend stock that has performed well in the past despite it being unsuitable for the Fund,disclosing this would not alleviate the fact that the holding is unsuitable for the Fund that only investments in companies with good environmental records.

C is incorrect because there has not been a violation of independence and objectivity

CFA那点事儿
报名信息	成绩查询	证书领取	备考经验	课程辅导
就业指导	资料下载	考试大纲	真题解析	知识讲解

Questions 2:

Pia Nilsson is a sole proprietor investment advisor.An economic recession has reduced the number of clients she advises and caused revenues to decline.As a result,Nilsson has not paid her CFA Institute membership dues for the past two years.When a national financial publication recently interviewed Nilsson,she indicated that up until two years ago she had been a CFA charterholder and a CFA Institute member in good standing.In addition,she stated the completion of the CFA Program enhanced her portfolio management skills and enabled her to achieve superior returns on behalf of her clients.Which of Nilsson's following actions most likely violated the CFA Institute Standards of Professional Conduct?

A、Nonpayment of CFA Institute membership dues

B、Attributing her superior returns to participation in the CFA Program

C、Indicating that being a CFA charterholder has enhanced her portfolio management skills

【Answer to question 2】B

【analysis】

B is correct because it is a violation of Standard VII(B)–Responsibilities as a CFA Institute Member or CFA Candidate to claim that the CFA charter helped her to achieve superior returns.

A is incorrect because it is appropriate to claim that being a charterholder has improved her portfolio management skills.

C is incorrect because it is not a violation to not pay fees if the person does not claim to be a CFA charterholder or a member of the CFA Institute.

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cfa备考热门问题解答

cfa证书就业岗位有哪些？: cfa考完后可以从事的工作包括公司会计、基金经理助理、投资管理师、股票研究分析师、基金分析师、投资产品分析师、券商助理分析师、交易员等。在全球范围内，cfa会员的雇主包括了摩根大通、汇丰银行等机构。

cfa考试内容有哪些？: cfa考试分为三个等级，cfa一级和二级考试科目包括《职业伦理道德》、《定量分析》、《经济学》、《财务报表分析》、《公司理财》、《投资组合管理》、《权益投资》、《固定收益投资》、《衍生品投资》、《其他类投资》。cfa三级考试科目包括《经济学》、《投资组合管理》、《权益投资》、《职业伦理道德》、《固定收益投资》、《其他类投资》、《衍生工具》。

cfa一年考几次？: cfa每年考试的次数每个级别均有不同，其中CFA一级考试每年设置四次，CFA二级考试每年设置三次，CFA三级考试每年设置两次。需注意，协会规定考生必须要按照CFA考试的三个级别，依次进行报考，且报考两个级别考试的窗口之前需至少间隔6个月。

cfa的含金量如何？: CFA证书全称Chartered Financial Analyst（特许注册金融分析师），是全球投资业里最为严格与高含金量资格认证，为全球投资业在道德操守、专业标准及知识体系等方面设立了规范与标准，具有较高的知名度和影响力。英国的国际学术认证中心，还将持有CFA证书视为拥有硕士学历水平，能让想进修的金融专业人士，充分学习等同于金融硕士的知识课程。此外，人民日报三年内连续四次推荐CFA证书！因此，无论是从国际知名度还是国内知名度来说，CFA资格认证的含金量和认可度都是非常高的。

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