CFA一级知识点大剖析之Ethics（五）

        12. All of the employees of one company are CFA charter holders. The company prints underscored CFA logo on all the business cards and the letterhead of each employee. Does it violate the Code and Standards?

        Correct answer = B

        13. Rene Whatcom, CFA, is an independent contractor who writes research reports for several investment publications. Whatcom refuses to sign contracts with exclusivity clauses. Whatcom sometimes revises work he submits to one publication and sends slightly altered versions of the report to additional publications. Does Whatcom violate any CFA Institute Standards?
        A. No. 
        B.Yes, with respect to loyalty. 
        C. Yes, with respect to disclosure of conflicts. 
        Correct answer = A
        没有签exclusivity clause, 不受排他性条款限制
 

        14. After work each day, Shinichi Takada, CFA, runs a popular Internet blog where he comments on micro-cap stocks. The blog includes a bio of Takada with his education and employment history. He receives no compensation for the blog. On the blog, Takada recommends purchases and sales of stocks based upon astrology. When blogging, Takada least likely violates CFA Institute Standard relating to:
        A. Fair Dealing.
        B. Duty to Employer.
        C. Loyalty, Prudence, and Care.
        Correct answer = A
        Takada is least likely to violate the standard relating to Fair Dealing because the blog is a method of mass communication that makes Takada’s investment recommendations available to all readers simultaneously.