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1、注册金融分析师一级（下午）模拟12AfternoonSession1TimothyHolt,CFAZisaportfoliomanagerfortheToroAggressiveGrowthFund,alargemutualfundwithanaggressive-growthmandateinFechtmanInvestments.Whilehavinglunchwithhiscolleagues,HoltoverheardsthemanagerofFechtmanInvestments1tradingdeskdiscussi
2、ngalargesellorderforsharesofSamuelCorporationthatwilltaketherestofthisweektoprocess.SamuelCorporationstockstakeadominantpositionintheToroAggressiveGrowthFund.Toprotecthisclients1interests,HoltimmediatelyheadstohisofficeandsellsalltheSamuelCorporationstocksheldiiihisf
3、und•HasHoltmostlikelyviolatedtheStandardsofProfessionalConduct?A.No.B.Yes,relatingonlytomaterialnonpublicinformation.C.Yes,relatingbothtomaterialnonpublicinformationandpriorityoftransactions•2、Whichofthefollowingismostaccurate?WithrespecttoacceptinggiftsfromclientszC
4、FAmembers:A.maynotacceptbusiness-relatedentertainment•B.mayacceptmodestgiftsbelow$100pergiftwithoutanydisclosure.C.mustdisclosetotheiremployersbenefitspreviouslyacceptedfromclientsifnotificationisnotpossiblepriortoacceptance.3、EmilieRome•CFA,isastockbrokerinMillerinv
5、estmentconsultingfirm.CharlotteEverett,oneofRome1sclientsisaretireelivingonincomefromherpensionplanwithbelow-averagerisktolerance•EverettasksRometobuyastructuredproductconsistingofcallandputstockoptions.RometellsEverettthattheproducthassignificantlyhighriskandlowinco
6、me•However,Everettstillconfirmstheorder,andRomeexecutesthetrade.HasDavismostlikelyviolatedtheStandardsofProfessionalConduct?A.No.B.Yes,relatingtosuitability.C•Yes,relatingtoloyalty,prudence,andcare-4、Amemberreceivesreferralfeesconsiderationfromindividualsoutsidetheme
7、mber1sfirmfortherecommendationofafinancialservice•AccordingtotheStandardsofProfessionalConduct,beforeentryintoanyformalagreementfortheservice,thememberisrequiredtodisclosetotheiremployer,clientsandprospectiveclients:A.onlythenatureoftheconsideration.B.onlyanestimated
8、dollarvalueoftheconsideration.C•boththenatureandtheestimateddollarvalueoftheconsideration•5、WithrespecttotheStandardsofProfessional
