"morality" exercise:Standards of Professional Conduct of the CFA Association

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來源: 正保會計網(wǎng)校編輯：小鞠橘桔 2020/11/27 09:29:27　字體：大小

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Questions 1:

At the conclusion of the afternoon section of the Level I CFA examination, the exam proctor instructs all candidates to stop writing and put their pencils down immediately. Krishna Chowdary sees other candidates in front of him continue to fill in their answer sheets. Chowdary has two questions left to complete so he randomly fills in one of the ovals on his answer sheet before putting his pencil down on the table. Did Chowdary’s actions most likely violate the CFA Institute Code of Ethics and Standards of Professional Conduct?

A 、Yes.

B 、No, because other candidates continued writing.

C 、No, because he randomly answered one q

Questions 2:

Upon receiving notification that he passed his Level III CFA exam, Paulo Garcia updates his educational background on his social media site by adding “completed the CFA course.” Does Garcia most likely violate the CFA Institute Standards of Professional Conduct?

A、 No.

B、 Yes, because it could imply he has obtained the charter.

C、 Yes, because he doesn’t describe the certification process.

View answer resolution

【Answer to question 1】A

【analysis】

A is correct because by completing a question on his examination after time was called, Chowdary violated Standard VII(A)–Conduct as Members and Candidates in the CFA Program. By continuing to write, Chowdary took advantage of other candidates, and his conduct compromised the validity of his exam performance.

B is incorrect because Chowdary violated Standard VII(A) by working on his examination after time was called.

C is incorrect because Chowdary violated Standard VII(A) by working on his examination after time was called.

【Answer to question 2】B

【analysis】

B is correct because Standard VII(B)–Reference to CFA Institute, the CFA Designation, and the CFA Program forbids candidates to imply that they have a partial designation or cite an expected completion date of any level of the CFA Program. Final award of the Charter is subject to meeting the CFA Program requirements and approval by the CFA Institute Board of Governors. Garcia should state, “passed Level III CFA exam” or “passed all three levels of the CFA exams”. By stating that he “passed the CFA Course” it could be taken to mean he obtained his Charter, which is incorrect.

A is incorrect because Garcia violates Standard VII(B)–by implying he has obtained the CFA Charter, when he has not.

C is incorrect because describing the process is not required by the Standards.

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