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CFA道德规范和专业行为准则练习题之与潜在客户的沟通

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:Communication with Clients and Prospective

Questions 1:

Sergio Morales,CFA,believes he has found evidence that his supervisor is engaged in fraudulent activity involving a client’s account.When Morales confronts his supervisor,he is told the client is fully aware of the issue.Later that day,Morales contacts the client and upon disclosing the fraudulent activity,is told by the client to mind his own business.Following the requirements of local law,Morales provides all of his evidence,along with copies of the client’s most recent account statements,to a government whistle blower program.Has Morales most likely violated the CFA Institute Standards of Professional

Conduct?

A、No.

B、Yes,concerning Duties to Employers.

C、Yes,concerning Preservation of Confidentiality.

【Answer to question 1】A

【analysis】

A is correct because Morales believes his supervisor and potentially the client are engaged in fraudulent activity and by following the requirements of local law,through their whistleblower program,he has not violated Standard III(E)–Preservation of Confidentiality or Standard(V)–Duties to Employers.

B is incorrect because Morales has not violated Standard(V)–Duties to Employers.

C is incorrect because Morales believes that his supervisor and potentially the client are engaged in fraudulent activity and by following the requirements of local law,through their whistleblower program,he has not violated Standard III(E)–Preservation of Confidentiality.

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:

Leng Bo,CFA,is a bond portfolio manager for individual investors.Last year,a client whose portfolio is limited to investment-grade bonds approved Bo’s purchase of a below investment grade bond.Because yields in the high grade fixed-income markets declined,Bo subsequently decides to enhance this client’s portfolio by investing in several additional bonds with ratings one or two notches below investment grade.The investment strategy implemented by Bo most likely violated which of the following CFA Institute Standards of Professional Conduct?

A、Suitability

B、Communications with Clients

C、Independence and Objectivity

【Answer to question 2】A

【analysis】

A is correct because the client only approved the purchase of one below investment grade bond while the portfolio manager has purchased several additional bonds below investment grade without client approval in violation of Standard III(C).

B is incorrect because no violation of this Standard has occurred.

C is incorrect because no violation of this Standard has occurred.

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以上就是【CFA道德规范和专业行为准则练习题＂Morality＂Exercise:Communication with Clients and Prospective】的全部内容，如果你想学习更多CFA相关知识，欢迎大家前往高顿教育官网CFA频道！在这里，你可以学习更多精品课程，练习更多重点试题，了解更多最新考试动态。

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