"morality" exercise: The CFA Designation 、CFA Program

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來源: 正保會計(jì)網(wǎng)校編輯：小鞠橘桔 2021/02/26 10:28:51　字體：大小

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Questions 1:

Bob White is a new CFA charterholder and he is updating his resume and company biography (bio) to reflect this accomplishment. In his bio, he states that he successfully passed all three CFA exams in three consecutive years. On his resume he adds the following line: “CFA, 2013, CFA Society of Pittsburgh”. Are either his bio or his resume in violation of the Standards regarding referencing the CFA designation and program?

A、 No.

B、 Yes, his resume is incorrect.

C 、Yes, both his bio and his resume are in violation of the Standards.

Questions 2:

Kim Klausner, CFA, monitors several hundred employees as head of compliance for a large investment advisory firm. Klausner has always ensured that his company’s compliance program met or exceeded those of its competitors. Klausner, who is going on a long vacation, has delegated his supervisory responsibilities to Sue Chang. Klausner informs Chang that her responsibilities include detecting and preventing violations of any capital market rules and regulations, and the CFA Institute Code and Standards. Klausner least likely violated the CFA Institute Standards of Professional Conduct by failing to instruct Chang to also consider:

A、 firm policies.

B 、legal restrictions.

C、 industry standards.

View answer resolution

【Answer to question 1】 B

【analysis】

B is correct because his resume should read CFA, 2013, CFA Institute. The resume is incorrect because it lists the CFA Society of Pittsburgh instead of the CFA Institute as the organization associated with the CFA designation.

A is incorrect because his resume is wrong.

C is incorrect because stating that he passed the three exams in three years is simply a statement of fact (assuming it is true) and permissible.

【Answer to question 2】C

【analysis】

C is correct because the requirement under Standard IV(C)–Responsibilities of Supervisors does not include any reference to industry standards. Standard IV(C) requires supervisors to instruct those subordinate to whom supervision is delegated about detection methods to prevent violations of laws, rules, regulations, firm policies, and the CFA Institute Code and Standards.

A is incorrect because the requirement under Standard IV(C)–Responsibilities of Supervisors includes detection of any violation of firm policies.

B is incorrect because a supervisor’s responsibilities under Standard IV(C)– Responsibilities of Supervisors include instructing those subordinates to whom supervision is delegated about methods to prevent and detect violations of laws, rules, regulations, firm policies, and the Code and Standards. Laws would also include legal restrictions.

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