题目内容

Diana Fairbanks, CFA is married to an auditor who is employed at a large accounting firm. When her husband mentions a computer firm he audits will receive a qualified opinion she thinks nothing of it.

A. Take no investment action.
B. Complete a thorough and diligent analysis of the company and then sell the stock.
C. Sell the stock immediately as she has a reasonable basis for taking this investment action.

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Sergio Morales, CFA believes he has found evidence his supervisor is engaged in fraudulent activity concerning a clients account. When Morales confronts his supervisor, he is told the client is fully

A. Duties to Clients
B. Duties to Employers
Communication with Clients

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A company which prepares its financial statements using IFRS wrote down its inventory value by €20,000 in 2009. In 2010, prices increased and the same inventory was worth €30,000 more than its value a

A. Was unaffected.
B. Decreased by €20,000
C. Decreased by €30,000

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Andrew Li, CFA, was recently promoted to senior portfolio manager. In her new position, Andrew is required to supervise three portfolio managers. Andrew asks for a copy of her firms written supervisor

A. Require that her firm adopt the CFA Institute Code of Ethics and Standards of Professional Conduct.
B. Require that the employees she supervises adopt the CFA Institute Code of Ethics and Standards of Professional Conduct.
C. Decline to accept supervisory responsibility until her firm adopts procedures to allow her to adequately exercise such responsibility.

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Yao Tsang, CFA has a large percentage of his net worth invested in the Australian mining company, Outback Mines, which he has held for many years. Tsang is in the process of moving to a new employer w

A. Disclose his stock holding to his employer and to clients.
B. Sell his stock holdings to eliminate any potential conflict of interest.
C. Refuse to write the report and ask his employer to assign another analyst to complete the analysis.

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Diana Fairbanks, CFA is married to an auditor who is employed at a large accounting firm. When her husband mentions a computer firm he audits will receive a qualified opinion she thinks nothing of it.

A. Take no investment action. B. Complete a thorough and diligent analysis of the company and then sell the stock. C. Sell the stock immediately as she has a reasonable basis for taking this investment action.

Sergio Morales, CFA believes he has found evidence his supervisor is engaged in fraudulent activity concerning a clients account. When Morales confronts his supervisor, he is told the client is fully

A company which prepares its financial statements using IFRS wrote down its inventory value by €20,000 in 2009. In 2010, prices increased and the same inventory was worth €30,000 more than its value a

Andrew Li, CFA, was recently promoted to senior portfolio manager. In her new position, Andrew is required to supervise three portfolio managers. Andrew asks for a copy of her firms written supervisor

Yao Tsang, CFA has a large percentage of his net worth invested in the Australian mining company, Outback Mines, which he has held for many years. Tsang is in the process of moving to a new employer w

A. Take no investment action.
B. Complete a thorough and diligent analysis of the company and then sell the stock.
C. Sell the stock immediately as she has a reasonable basis for taking this investment action.