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"morality" exercise:Behavior standard

来源: 正保会计网校 编辑:小鞠橘桔 2020/11/09 11:39:50 字体:

学习是一个不断积累的过程,每天学习一点,每天进步一点!为了帮助大家更高效地备考2021年CFA考试,正保会计网校每日为大家上新CFA习题供大家练习。让网校与您一起高效备考2021年CFA考试,梦想成真!

Questions 1:

When claiming GIPS compliance, a firm will least likely have to apply all of the required provisions in the first five major sections of the GIPS standards when investing in:

A 、separately managed accounts.

B 、equity mutual funds or unit trusts. 

C、 commodity related portfolios.

Questions 2:

Which of the following best outlines the minimally acceptable behaviors expected of a member belonging to a societal group?

A Standards of conduct

B Code of ethics

C A firm’s employee handbook

View answer resolution
【Answer to question 1】A

【analysis】

A is correct. Certain provisions of Sections 0–5 do not apply to real estate investments, private equity investments and/or separately managed accounts. Private equity, real estate, and separately managed accounts have their own sections within the GIPS standards specific to each respective asset class (Sections 6–8). 

B is incorrect because mutual funds or unit trusts would be subject to the provisions in Sections 0–5. 

C is incorrect because commodity funds would be subject to the provisions in Sections 0–5.

【Answer to question 2】A

【analysis】

A is correct. Standards of conduct outline the minimally acceptable behaviors expected of a member of a societal group. The code of ethics serves as a general guide for how community members should act. 

B is incorrect. A code of ethics does not outline the minimally acceptable behaviors expected of its societal members, it serves as a general guide for how community of members should act. 

C is incorrect. A firm’s employee handbook does not outline the minimally acceptable behaviors expected of its societal members, it outlines the expected behavior of the firm’s employees.

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特许金融分析师限时免费资料

  • CFA报考指南

    CFA报考指南

  • CFA考试大纲

    CFA考试大纲

  • CFA历年

    CFA历年

  • CFA学习计划

    CFA学习计划

  • CFA思维导图

    CFA思维导图

  • CFA备考建议

    CFA备考建议

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