更多"With respect to claiming compliance"的相关试题:
[单项选择]With respect to the CFA Institute Code of Ethics and Standards of Professional Conduct, which of the following is least likely to prompt an inquiry by the CFA Institute Professional Conduct Program
A. Written complaints received by Professional Conduct staffs.
B. A violation report submitted by CFA examination proctors.
C. Internal investigations of members conducted by local CFA societies.
[单项选择]Frank Adwood, CFA, is the chief compliance officer for Nills Investment Limited. Frank institutes a new policy requiring the pro rata distribution of new security issues to all discretionary accounts for which the new issues are appropriate. The policy does not provide for the distribution of new issues to non-discretionary accounts, but this is disclosed to all existing and potential clients. Did Frank most likely violate any CFA Institute Standards of Professional Conduct（）
A. No.
B. Yes, because the distribution policy fails to treat all discretionary accounts equally.
C. Yes, because disclosure of inequitable allocation methods does not fulfill the duty for fail and equitable trade allocation procedures.
[单项选择]Sean Dahib, CFA, is in charge of the compliance program at his investment firm. According to the Standards of Practice Handbook, as a supervisor, Sean should least likely perform which of the following activities（）
A. Respond promptly to all violations.
B. Disseminate the contents of the program to all personnel.
C. Periodically update the procedures to ensure that the measures are adequate under the law.
[单项选择]A stated objective of the CFA Institute’s Global Investment Performance Standards(GIPS) is to:（）
A. encourage investment companies to develop the Code of Ethics internally.
B. to foster the notion of industry self-regulation on a global basis.
C. foster superior investment performance among investment companies.
[单项选择]I have hurt her self-respect, but （ ） is not my intention.
A. itself
B. such
C. what
D. which
[单项选择]I have hurt her self-respect, but（）is not my intention.
A. itself
B. such
C. what
D. which
[单项选择]
Wesley Whitcomb, CFA, participated as a CFA examination grader in 2012. Prior to participating in grading CFA examinations, Whitcomb was required to sign a CFA Institute Grader Agreement drafted by CFA Institute stating that graders are not to reveal or discuss the exam materials with anyone except CFA Institute staff and other graders. Several weeks after the conclusion of the CFA exam grading, Whitcomb returns to his office and is having dinner with several colleagues some of who are the Level Ⅲ candidates in the CFA Program. One of the candidates mentions that he is very disappointed about his examination this time and afraid of failing for the exam because he unintentionally made a calculation mistake when answering the first essay question of investment policy statement. Whitcomb responds by telling the candidate that he was a grader for the 2012 examination and that it would be unfortunate if the candidate did give wrong answer to that question because most candidates scored
A. A
B. B
C. C
[填空题]
Plagiarism is the practice of dishonestly claiming or implying
original authorship of material which one has not actually created, such as when
a person incorporates material from someone else’s work into his own work
without attributing it. The United States of America Office of Research
Integrity {{U}} (47) {{/U}} plagiarism as "the appropriation of
another person’s idea, processes, results or words without {{U}} (48)
{{/U}} appropriate credit". Moreover, Shakespeare’s appropriation of
stories into his plays may be considered plagiarism except that
Shakespeare {{U}} (49) {{/U}} claimed that the stories were his
own.
Within academia, plagiarism is seen as {{U}} (50)
{{/U}} dishonesty and is a serious and punishable academic
offense.
There is little academic research into the frequency of
plagiarism. Any research that has taken place has {{U}} (51) {{/U}} on
universities (high educations). Of the {{U}} (52) {{/U}} of cheatin
[单项选择]Neil Barton, CFA, and Nancy Roberts, CFA, began a joint research report on Stamp Corporation. Nancy spent several days visiting Stamp’s corporate headquarters and meeting with all company officers. Prior to the completion of the report, Nancy was reassigned to another project. Neil utilized his and Nancy’s research to write the report. According to the CFA Institute Standards of practice Handbook, did Nell Violate any CFA Institute Standards of Professional Conduct（）
A. No.
B. Yes, with respect to misrepresentation.
C. Yes, with respect to independence and objectivity.
