6. A CFA charterholder is the Fund Manager for a non-profit organization. During a
presentation regarding the restructuring of their investment portfolio’s asset
allocation, the Head of the Finance Committee questions the manager. As part of
his response, the manager states, “I am a CFA charterholder, I know what I’m
talking about, you should do what I say”. According to the Standards of Practice
Handbook, has the charterholder violated any of the CFA Institute Standards of
Professional Conduct?
A. No.
B. Yes, Responsibilities as a CFA Institute Member.
C. Yes, Communication with Clients and Prospective Clients.
By accessing this mock exam, you agree to the following terms of use: This mock exam is provided to
currently-registered CFA candidates. Candidates may view and print the exam for personal exam
preparation only. The following activities are strictly prohibited and may result in disciplinary and/or legal
action: accessing or permitting access by anyone other than currently-registered CFA candidates; copying,
posting to any website, emailing, distributing and/or reprinting the mock exam for any purpose.
Bạn đang xem 6. - CFA MOCK EXAM LEVEL I MOCK EXAM MORNING 2009