7. A CFA candidate was responsible for developing presentations regarding New
Vision Asset Managers’ investment process and historical investment
performance. When the candidate moved to another firm, he brought with him the
presentation he developed for New Vision, changed the name of the company and
presented it to a client of his new employer. The client asked the candidate if he
had New Vision’s permission to use their presentation. The candidate responded,
“I created the presentation in my last month working there. It was, after my
resignation, so it’s mine to use. Besides the investment performance is what I
achieved for my clients at New Vision.” According to the Standards of Practice
Handbook, the CFA candidate is least likely to have violated the CFA Institute
Standards of Professional Conduct that relate to:
A. Loyalty.
B. Misrepresentation.
C. Communication with Clients and Prospective Clients.
Bạn đang xem 7. - CFA MOCK EXAM LEVEL I MOCK EXAM MORNING 2009