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1、CFALevel1MOCKEXAM1AfternoonSessionTimeLimit:3Hours1.George,CFA,acitizenofGermany,isdoingbusinessinaneighboringcountry.AccordingtoAIMRStandardsofProfessionalConduct,whichstatementappliestoGeorge'sconductwhenheisconductingbusinessintheothercountry?A.Heisnotboundbyanyofthe
2、regulationsbecauseFranceandtheothercountryhavenojurisdictionineachother'scountries.B.HeshouldadheretowhicheverofFrance's,theothercountry'sorAIMR'srulesthatimposethehighestdegreeofresponsibility.C.HeshouldonlyadheretothesecuritieslawsofFranceeventhoughtheydonotcoversomeo
3、ftheprovisionsfoundinthelawsoftheothercountrythatrelatetohiswork.D.HeshouldadheretothesecuritieslawsoftheothercountryeventhoughtheyarenotasstringentasthoseofFrance.2.Charlie,aCFAcandidate,gotacopyofacomputerizedstockselectionmodeldesignedbyaformerMBAclassmatewhoisaWallS
4、treetanalyst.AfterspendingsometimereviewingtheprogramandmakingafewminoradjustmentsCharlieshowedhernewmodeltohersupervisor.HersupervisorsaidshedidagreatjobandtoldCharlietoincorporatenetnewmodelinhernextindustryreview,whichshedid.Charliehas:A.violatedStandardIV(B.5)Preser
5、vationofConfidentiality.B.violatedStandardII(C)ProhibitionagainstPlagiarism.C.violatedStandardV(A)ProhibitionagainstuseofMaterialNonpublicInformation.D.noneoftheabove.3.Sheria,CFA,justjoinedaninvestmentfirmandreportsdirectlytoRaymond,whoheadsthedepartmentdealingwithadvi
6、soryservicetohighnetworthindividuals.TofulfillherdutyofinformingheremployeraboutfollowingAIMRCodeofEthicsandStandardsofProfessionalConduct,Sheriamustinform:A.thefirm'schiefexecutiveofficereitherorallyorinwriting.B.herdirectsupervisororallyaboutAIMR'srequirements.C.thema
7、nagingdirectorofthefirminwritingaboutAIMR'srequirements.MockExam1(AfternoonSession)(Rev.1)83A.herdirectsupervisorinwritingaboutAIMR'srequirements.4.Edison,CFA,supervisesagroupofresearchanalysts,noneofwhomareCFAcharterholdersorCFAcandidates.Hehasattemptedonseveraloccasio
8、nstogethisfirmtoadoptacompliancesystemtoinsurethatapplicablelawsandregulationsarefollowed.Thefirm'sprincipals,
