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1、注册金融分析师一级模拟3MorningSession1Kenneth^CFA,isaportfoliomanageratA&B丄imited,ifhesuspectsacolleagueathiscompanyofengaginginongoingillegalactivities,asaccordingtotheAIMRStandardsofProfessionalConduct,heisrequiredtotakeallofthefollowingactionsEXCEPT:A.determinewhethertheconductis,infact,illegal.B・d
2、isassociatehimselffromanyillegalactivity•C.reporttheillegalviolationstotheappropriategovernmentalorregulatoryorganizations•2^Susanfscompanyisparticipatinginaninvestmentanalysisproject.Hermanagergaveherareportfromanothercompany1sanalyst,alsoworkingontheproject,andtoldhertoputitoncompanylette
3、rheadanddistributethereportbytheendoftheday.BeinganAIMRmember,whichofthefollowingAIMRStandardsofProfessionalConductwillsheprobablyhavebrokenifSusancomplieswithhermanagerinstruction?A.IVA.ResearchReports.B•IVB•PortfolioInvestmentRecommendationsandActions.C.IIC.ProhibitionagainstPlagiarism.3、
4、Beforedisseminatingchangesinhisfirm1sbuy/selllist.Johnson,aCFAcandidate,callshisbestclientstoapprisethemofthependingchange.BasedontheAIMRStandardsofProfessionalConduct,whatstandard,ifany,didJohnsonviolate?A.StandardI11B.,FairDealing.B.StandardI*B.,PriorityofTransactions.C•StandardIIA•/Proh
5、ibitionAgainstUseofMaterialNonpublicInformation•4、AccordingtotheAIMRStandardsofProfessionalConduct,whichofthefollowingaboutStandardIIlE•,PreservationofConfidentialityfisTRUE?A.Ifamemberreceivesinformationduetohisorherspecialrelationshipwiththeclientindicatingillegalbehavioronthepartofthecli
6、ent,themembermaynothaveanobligationtoinformtheappropriateauthorities•B.Confidentialityclausesinsettlementagreementsprotectmembersfromdivulginginformationduringinvestigations.C.Employeeswhoarealsoworkingfortheclientshouldkeeptheinformationoftheclientsconfidential-5、BasedontheAIMRStandardsofP
7、rofessionalConduct,whichofthefollowingstatementsisleastlikelytobeaviolationofStandardHID.,ProhibitionagainstMisrepresentation?A.Ananalysttellsaprospectiveclientthatinvestmentgradebondsinvolvelessdefaultriskthanjunkbonds.B.Abondtradertellsadientthathecana
