[单项选择]According to CFA Institute of Professional Conduct (the Standards), which of the following is NOT a recommendation procedure for compliance with the Standards relating to fair dealing（）
A. Limit the number of people involved.
B. Maintain a list of clients and their holdings.
C. Prolong the time frame between decision and dissemination.

[单项选择]The CFA Institute Professional Conduct Program is covered by the CFA Institute Bylaws and the Rules of Procedure for Proceedings related to Professional Conduct Program. The program is based on the principles of fair process to the:（）
A. member's clients and confidentiality of sanctions.
B. member and confidentiality of sanctions.
C. member and confidentiality of proceedings.

[单项选择]According to the Professional Conduct Standards relating to responsibility of supervisors, supervisors are NOT required to:（）
A. take steps to prevent persons acting under their supervision from violating Jaws, rules, regulations, firm policies, or the Code of Ethics and Professional Conduct Standards.
B. contain the firm's compliance procedures in a clearly written and accessible manual that is tailored to the firm's operations.
C. exercise supervisory responsibility to employees who are not CFA Institute members.

[单项选择]According to the Standards of Professional Conduct relating to record retention, if local regulatory guidance is in place and requires at least 5 years of maintenances, CFA members should keep records for at least:（）
A. 5 years.
B. 7 years.
C. 10 years.

[单项选择]The Standards of Professional Conduct relating to market manipulation prohibits members from:（）
A. securing a controlling, dominant position in a financial instrument to exploit and manipulate the price of a related derivative and/or the underlying asset.
B. undertaking transactions on legitimate strategies based on perceived market inefficiencies.
C. both securing a controlling, dominant position in a financial instrument to exploit and manipulate the price of a related derivative and/or the underlying asset and undertaking transactions on legitimate strategies based on perceived market inefficiencies.

[单项选择]To comply to the Standards of Professional Conduct relating to preservation of confidentiality, a member must keep former clients information confidential unless the information:（）
A. is part of a professional conduct investigation by CFA Institute Designed Officer.
B. is related only to personal data, such as name and email address.
C. concems a client's illegal activities, while applicable law still requires to maintain confidentiality.

[单项选择]An analyst who is an CFA Institute member receives an invitation from a business associate’s firm to spend the weekend in a high-quality resort, in order to abide by the Standards, the analyst should (may):（）
A. write a memo to his supervisor notifying the supervisor of the trip.
B. do all of the actions listed here.
C. accept if it is a client whose portfolio he manages.

[单项选择]With respect to the CFA Institute Code of Ethics and Standards of Professional Conduct, which of the following is least likely to prompt an inquiry by the CFA Institute Professional Conduct Program
A. Written complaints received by Professional Conduct staffs.
B. A violation report submitted by CFA examination proctors.
C. Internal investigations of members conducted by local CFA societies.

[单项选择]A stated objective of the CFA Institute’s Global Investment Performance Standards(GIPS) is to:（）
A. encourage investment companies to develop the Code of Ethics internally.
B. to foster the notion of industry self-regulation on a global basis.
C. foster superior investment performance among investment companies.

[填空题]According to the survey(conduct)（）recently，52% of American business people booked their business travel online last year．

[填空题]According to the survey(conduct) ________ recently, 52% of American business people booked their business travel online last year.

[单项选择]According to the writer, professional knowledge or skill is _______.


A. less important than awareness of being a good employee
B. as important as the ability to deal with public relations
C. more important than the ability to cooperate with others in the organization
D. as important as the ability to cooperate with others in the organization

[单项选择]

Wesley Whitcomb, CFA, participated as a CFA examination grader in 2012. Prior to participating in grading CFA examinations, Whitcomb was required to sign a CFA Institute Grader Agreement drafted by CFA Institute stating that graders are not to reveal or discuss the exam materials with anyone except CFA Institute staff and other graders. Several weeks after the conclusion of the CFA exam grading, Whitcomb returns to his office and is having dinner with several colleagues some of who are the Level Ⅲ candidates in the CFA Program. One of the candidates mentions that he is very disappointed about his examination this time and afraid of failing for the exam because he unintentionally made a calculation mistake when answering the first essay question of investment policy statement. Whitcomb responds by telling the candidate that he was a grader for the 2012 examination and that it would be unfortunate if the candidate did give wrong answer to that question because most candidates scored
A. A
B. B
C. C

[单项选择]Neil Barton, CFA, and Nancy Roberts, CFA, began a joint research report on Stamp Corporation. Nancy spent several days visiting Stamp’s corporate headquarters and meeting with all company officers. Prior to the completion of the report, Nancy was reassigned to another project. Nell utilized his and Nancy’s research to write the report. According to the CFA Institute Standards of practice Handbook, did Nell violate any CFA Institute Standards of Professional Conduct（）
A. No.
B. Yes, with respect to misrepresentation.
C. Yes, with respect to independence and objectivity.

[多项选择]获得CFA证书需要通过三级考试，其中，CFA一级要求( )。
A. 掌握财务分析
B. 掌握宏观/微观经济学
C. 掌握数理统计的基本理论
D. 运用所学到的金融理论，比较并推荐最合理的投资工具

[多项选择]获得CFA证书需要通过三级考试，其中，CFA一级要求掌握( )。
A. 财务分析
B. 宏渺微观经济学
C. 数理统计的基本理论
D. 运用所学到的金融理论，比较并推荐最合理的投资工具

[单项选择]The receiving activities conduct analyses of the requirements with the requirements provider to ensure that a compatible, shared understanding is reached on the meaning of the requirements. The result of this analysis and dialog is an（）set of requirements.
A. agreed-to
B. agree-to
C. agree-to-do
D. agree-with

[单项选择]All metals are found not to conduct electricity equally well.
A. 人们发现，并不是所有金属的导电性能都一样好。
B. 人们发现所有金属不能同等用来导电。
C. 所有金属被发现不能同样好地发电。
D. 人们发现的所有金属并不都是为了很好地发电。