题目内容（请给出正确答案）

[主观题]

An AIMR member is NOT required to notify her supervisor in writing of the AIMR Code and Standards under which of the following circumstances？

A.The employer has indicated a willingness to adopt AIMR’s Code and Standards, and the supervisor is an AIMR member.

B.The employer has a high ethical standard, much of which is reflected in writing in the firm’s Mission Statement.

C.The supervisor is an AIMR member.

D.The employer has publicly acknowledged in writing that they have adopted the AIMR Code and Standards.

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更多“An AIMR member is NOT required…”相关的问题

第1题

When must an analyst give credit to the firm 抯 own research staff for research analysis?

A.When sending printed materials to clients.

B.When discussing research with a client.

C.In a professional witness situation.

D.In inter-office communications.

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第2题

Which of the following would NOT violate AIMR 畳 s rules regarding personal integrity and behavior?

A.A driving under the influence (DUI) conviction that results in the loss of one’s driver’s license for six months.

B.Stealing a car and going to prison for 18 months.

C.A misdemeanor conviction that results from lying about your income on your tax return.

D.Cheating on an MBA preliminary exam and being expelled from the University.

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第3题

All of the following are appropriate uses of the CFA designation EXCEPT:

A.Jeremy Salyers, CFA.

B.Joanne Silbourne is a CFA charterholder.

C.I, as a CFA charterholder, expect to outperform the market because CFA charterholders have on average outperformed the S&P in 95 percent of the last 50 years.

D.I have earned the CFA designation by passing three exams, having sufficient work experience and becoming a member of AIMR?.

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第4题

Which of the following statements about the AIMR?Code and Standards is TRUE? The Code and Standards:

A.require that members report legal violations to the appropriate governmental or regulatory organization.

B.do not require that members report legal violations to the appropriate governmental or regulatory organization.

C.expect members to resign from their jobs to disassociate themselves from clients engaging in illegal activities.

D.expect members to persuade the perpetrator to cease illegal activities.

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第5题

AIMR?believes:

A.that a maximum level of professional responsibility and conduct dictates that members be aware of and comply with laws, rules, and regulations governing their conduct.

B.companies should set standards based on the ethics of upper management and the board of directors.

C.that firms should comply with all domestic laws and regulations and that these laws also govern behavior in foreign markets, regardless of foreign laws and requirements.

D.that a minimum level of professional responsibility and conduct dictates that members be aware of and comply with laws, rules, and regulations governing their conduct.

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第6题

There are four components of the AIMR?Code of Ethics. All of the following are part of the Code of Ethics EXCEPT:

A.Practice and encourage others to practice in a professional and ethical manner that will reflect credit on members and their profession.

B.Strive to maintain and improve the competence of regulatory bodies such as the Securities and Exchange Commission (SEC).

C.Strive to maintain and improve the competence of others in the profession.

D.Use reasonable care and exercise independent professional judgment.

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第7题

Under the Employee Retirement Income Security Act (ERISA), a person is a fiduciary if he or she:

A.has discretionary authority in the administration of the pension plan; rende rs investment advice for a fee with respect to a pension plan’s assets; exercises any discretionary authority with the management of the pension plan or its assets.

B.has an executive position in the firm sponsoring the pension plan.

C.has an executive position in the firm sponsoring the pension plan; has discretionary authority in the administration of the pension plan.

D.exercises any discretionary authority with the management of the pension plan or its assets.

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第8题

Which one of the following is NOT consistent with AIMR’s Performance Presentation Standards?

A.Cash and cash equivalents must be included in composite returns.

B.All actual, fee paying, discretionary portfolios should be included in at least one composite.

C.Investment performance is the record of the manager not the firm, all changes in personnel should be accounted for by adjusting the composite’s performance history.

D.Presentation of performance may be either gross or net of investment management fees, as long as the method and the fee schedule are disclosed.

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第9题

Which of the following is a violation based on AIMR’s Standard’s of Pro fessional Conduct?

A.A portfolio manager accepts free trades from XYZ for her personal account for directing the portfolio’s trades to XYZ. She does not inform her manager since there is no cash involved.

B.After informing his manager, a portfolio manager accepts money for giving a broker information relating to a client’s financial standing.

C.A portfolio manager is offered a free vacation to increase performance. At the end of the year performance is up and the manager accepts the vacation after info rming his manager of the fact.

D.A portfolio manager is unexpectedly offered a vacation at year-end from a client who was pleased with their portfolio’s performance. The manager accepts the vacation after informing her manager of the fact.

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第10题

According to AIMR’s Standards of Professional Conduct Standard I(B), Fundamental Responsibilities, members shall not knowingly participate or assist in legal and ethical violations. An analyst:

A.must report all legal violations to the proper regulatory commission and is held responsible for participating in illegal acts when the law is evident to anyone knowing the law.

B.is held responsible for violations by others when the analyst is unaware of the facts giving rise to the violation.

C.is held responsible for participating in illegal acts when the law is evident to anyone knowing the law and can participate in a violation by having knowledge of the violation and taking no action to stop it or disassociate from it.

D.is held responsible for participating in illegal acts when the law is evident to anyone knowing the law and is held responsible for violations by others when the analyst is unaware of the facts giving rise to the violation.

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