"morality" exercise:Diligence and Reasonable Basis

學(xué)習(xí)是一個(gè)不斷積累的過程，每天學(xué)習(xí)一點(diǎn)，每天進(jìn)步一點(diǎn)！為了幫助大家更高效地備考2021年CFA考試，正保會(huì)計(jì)網(wǎng)校每日為大家上新CFA習(xí)題供大家練習(xí)。讓網(wǎng)校與您一起高效備考2021年CFA考試，夢(mèng)想成真！

Questions 1:

Ri Lin, CFA, is a Portfolio Manager with Dynasty Investment Management. Lin is performing research on Titan Mining for potential inclusion in his fund. Management at Titan is interested in having a well-known fund manager such as Lin as a shareholder. Titan pays for Lin to fly to a company retreat in Tokyo, where a brief introductory meeting is followed by attending a sporting event and then dinner at one of the city’s top restaurants. Lin participates after disclosing the activities to Dynasty’s compliance department.Which standard did Lin’s actions most likely violate?

A 、Disclosures of Conflicts 

B、 Independence and Objectivity

C、 Diligence and Reasonable Basis

Questions 2:

Atlantic Capital Management has access to a limited number of shares in a popular new issue expected to be oversubscribed. Atlantic’s portfolio managers have determined the issue to be a prudent addition within Atlantic’s developing growth equity strategy. A number of the firm’s investment professionals have family-member accounts that are managed to the developing growth strategy. Which of the following allocation options most likely adheres to the Code and Standards? Atlantic should allocate the shares:

A 、to family-member accounts only after non-family accounts have been allocated their shares.

B、 on a prorated basis across all developing growth accounts, including the family-member accounts.

C、 on a prorated basis across all developing growth accounts, excluding the family-member accounts

成功=時(shí)間+方法，自制力是這個(gè)等式的保障。世上無天才，高手都是來自刻苦的練習(xí)。而人們經(jīng)常只看到“牛人”閃耀的成績(jī)，其成績(jī)背后無比寂寞的勤奮。小編相信，每天都在勤奮練習(xí)，即使是一點(diǎn)點(diǎn)的進(jìn)步，大家一定可以成為人人稱贊的“牛人”。更多CFA考試資訊，點(diǎn)擊了解>