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CFA Level I Chartered Financial Analyst CFA I Exam Questions in PDF

Free CFA CFA I Dumps Questions (page: 18)

CFA I PDF — 3960 Questions

Which of the following can be found in Standard III?

  1. Members must use the CFA designation in a dignified manner.
  2. If members receive material nonpublic information in confidence, they shall not breach that confidence by trading or causing others to trade in securities to which such information relates.
  3. Members shall maintain knowledge of AIMR's Code of Ethics.
  4. Members shall comply with any prohibitions on activities imposed by their employer if a conflict of interest exists.
  5. Members shall make reasonable and diligent efforts to avoid any material misrepresentation in any research report or investment recommendation.

Answer(s): D

Explanation:

Standard III states: "Members shall comply with any prohibitions on activities imposed by their employer if a conflict of interest exists."



Which of the following can be found in Standard II?

  1. Members shall make reasonable and diligent efforts to avoid any material misrepresentation in any research report or investment recommendation.
  2. Members must use the CFA designation in a dignified manner.
  3. Members shall comply with any prohibitions on activities imposed by their employer if a conflict of interest exists.
  4. Members shall maintain knowledge of AIMR's Code of Ethics.
  5. If members receive material nonpublic information in confidence, they shall not breach that confidence by trading or causing others to trade in securities to which such information relates.

Answer(s): B

Explanation:

Standard II states that holders of the CFA designation may use it, but only in a dignified and judicious manner.
The use of the designation may be accompanied by an accurate explanation of the requirements that have been met to obtain the designation.



Which of the following is/are forms of plagiarism as defined by AIMR code of conduct?

  1. Using material from a seminar in research reports without proper acknowledgment.
    II. Presenting statistical estimates prepared by others without the associated caveats and qualifiers.
    III. Using of information obtained in a teleconference without identifying the original source.
    IV. Using Standard & Poor's estimates of stock betas without attribution.
  2. I, II and IV only
  3. I, II and III only
  4. II, III and IV only
  5. II and III only

Answer(s): B

Explanation:

Standard II (C) - Prohibition against Plagiarism - considers a use of factual information published by recognized financial and statistical services without attribution acceptable. All of the others are forms of plagiarism and violations of Standard II (C).



Which of the following AIMR standards pertains to the responsibilities of supervisors?

  1. IV
  2. II C
  3. V
  4. None of these answers

Answer(s): D

Explanation:

Responsibilities of Supervisors falls under Standard III (E).



Firms with records or performance calculations for periods prior to the applicable effective date(s) that are not in conformance with the AIMR Performance Presentation Standards can still claim compliance with the standards if certain conditions are met. Which of the following is an option available to such a firm?

  1. None of these answers are options available to such a firm.
  2. All of these answers are options available to such a firm.
  3. The firm can restate its historical performance in accordance with the Relaxed Retroactive Standards for retroactive compliance.
  4. The firm can use its nonconforming historical performance and disclose specifically when and how the performance is not in compliance.
  5. The firm can restate its historical performance numbers in accordance with the Standards.

Answer(s): B

Explanation:

Firms with records or performance calculations for periods prior to the applicable effective date(s) that are not in conformance with the Standards can choose any of the options listed.



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