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"morality" exercise:Standards of Professional Conduct

來(lái)源: 正保會(huì)計(jì)網(wǎng)校 編輯:小鞠橘桔 2020/09/27 09:03:45  字體:

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學(xué)習(xí)是一個(gè)不斷積累的過(guò)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:

A profession is most likely described as a group of people that:

A 、has a common level of basic knowledge about a particular subject.

B、 monitors its members based on an agreed-on code of ethics.

C、 puts the interests of its members first

Questions 2:

Who most likely determines whether a violation of the CFA Institute Code and Standards or testing policies has occurred and what sanction should be imposed? The:

A、 Professional Conduct Staff and the Disciplinary Review Committee

B 、Professional Conduct Staff

C、 Disciplinary Review Committee

View answer resolution
【Answer to question 1】B

【analysis】

B is correct. A profession is practiced by members who share and agree to adhere to a common code of ethics, and a profession is based on a specialized knowledge and skills and service to others. 

A is incorrect. A profession is based on a specialized knowledge and skills, not basic knowledge.

 C is incorrect. A profession is based on service to others that may not necessarily mean the interests of its members come first.

【Answer to question 2】A

【analysis】

A is correct. Both the Professional Conduct Staff and the Disciplinary Review Committee are responsible for determining whether a violation of the Code and Standards or testing policies has occurred and if so what sanction should be imposed. Following their investigation, the Professional Conduct Staff may conclude the inquiry with no disciplinary sanction, issue a cautionary letter, or continue proceedings to discipline the member or candidate which include the charges and a proposed sanction. If that proposal is rejected by the member or candidate, the matter is referred to a panel composed of DRC Members. The panel’s task is to determine whether a violation of the Code and Standards or testing policies occurred and if so what sanction should be imposed.

 B is incorrect. Both the Professional Conduct Staff and the Disciplinary Review Committee are responsible for determining whether a violation of the Code and Standards or testing policies has occurred and if so what sanction should be imposed. 

 C is incorrect. Both the Professional Conduct Staff and the Disciplinary Review Committee are responsible for determining whether a violation of the Code and Standards or testing policies has occurred and if so what sanction should be imposed.

成功=時(shí)間+方法,自制力是這個(gè)等式的保障。世上無(wú)天才,高手都是來(lái)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(wú)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>

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