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1、注册金融分析师一级模拟4MorningSession1George,CFAZacitizenofGermany,isdoingbusinessinaneighboringcountry.AccordingtoAIMRStandardsofProfessionalConduct,whichstatementappliestoGeorgefsconductwhenheisconductingbusinessintheothercountry?A.Heisnotboundbyanyoftheregulatio
2、nsbecauseFranceandtheothercountryhavenojurisdictionineachother1scountries.B.HeshouldadheretowhicheverofFrance1s,theothercountry1sorAIMR'srulesthatimposethehighestdegreeofresponsibility.C•HeshouldonlyadheretothesecuritieslawsofFranceeventhoughtheydonotcov
3、ersomeoftheprovisionsfoundinthelawsoftheothercountrythatrelatetohiswork.2^Anindependentanalysthasonlyoneclient.Oneoftheclient1slargestholdingsisabrokeragefirm.Becauseofthelargeholdingbyhisclient,thebrokeragefirmrecentlybeganallowingtheanalysttotapintothe
4、firm'scomputernetworktousethefirmfsresearchfacilities.Thisisallowableaslongastheanalyst:A.disclosestherelationshiptotheclient•B.usestheresourcestohelpmanagetheclient1saccount.C.doesalloftheactionslistedhere.3、Roy,CFA,managesseveralpensionaccountsanddirec
5、tsmostofhistradesthroughtheWalesInvestmentLimited-RoydoesthisbecausehebelievesthathegetsgoodexecutionsandWalesInvestmentLimitedprovideshimwithexcellentresearchreportsusedinthemanagementoftheseaccounts.Regional,asmalldiscountbrokeragehouse,hasjustapproach
6、edRoythatitwillexecutehistradesathalfthecostofWales-Regionaldoesnothavearesearchdepartment•AccordingtoAIMRStandardsofProfessionalConduct,ifWalesdoesNOTswitchhisbusinesstoRegional,hasheviolatedtheloyaltyclauseinhisfiduciaryduties?A.No,becausehealreadyhada
7、nestab丄ishedrelationshipwithWalesbeforeRegional1soffer•B.No,ifhecandetermine,ingoodfaith,thatthehighercommissionsarecommensuratewiththevalueoftheresearchserviceshereceivesanddisclosesthispractice•C.Yes,becauseoftheprudentexpertclause.4、Allofthefollowingv
8、iolateStandardIC•,Misrepresentation,EXCEPT:A.copyingaproprietArycomputerizedspreadsheetwithoutseekingauthorizationfromtheircreators.B•presentingfactualinformationpublishedbyrecognizedstatisticalreportingserviceswithoutackn
