题目内容

Which of the following is most likely part of the CFA Institute Standards of Professional Conduct, Standard I–Professionalism？ Members and candidates:

A. must understand and comply with all applicable laws.
B. must not engage in practices that distort prices or artificially inflate trading volume with the intent to mislead market participants.
C. must deal fairly and objectively with all clients when providing investment analysis, making investment recommendations, taking investment action, or engaging in other professional activities.

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Jack Bauer, CFA, works on Golden Finance as a portfolio manager. His father Linker Bauer is a senior manager of KPMG. During a family party, Linker mentioned that he was busy working on an audit of a car maker company recently. Linker also mentioned that the car maker company might encounter financial distress. Jack just listened and did not think too much. A few days later, Jack solicited a new client and found the client heavily holding the car maker company. Jack did some digging into the car maker company and found nothing about the financial problem. Which of the following actions is the most appropriate to comply with the CFA Institute Standards of Professional Conduct？

A. Do more research then sell the stock.
B. Sell the stock directly because he has soundness reason to do that so.
C. Do nothing.

Yuan, CFA, is a bond research analyst in XYZ securities. XYZ securities hold a large position in the bond of Carly Group. In last week, many securities company change the stock recommendation of Carly Group, since the disappointing financial report just released.It also led to the collapse of Carly bond prices. Yuan’s supervisor asked Yuan to call their clients and convinced them to continue holding the bonds of Carly Group. However, Yuan had a different thought. He believed the Carly bond price was overvalued.Which of the following action is the most appropriate to comply with the CFA Institute Code of Ethics and Standards of Professional Conduct, Yuan should:

A. make these calls with prominent disclose.
B. follow his supervisor’s request, because of the chain of command.
C. deny his supervisor’s request.

小刘是一位刚参加工作的社会工作者，负责居家养老服务，他满怀热情投入工作，却在几次入户访问工作时遭遇闭门羹，还有一些老人抱怨现有不够细致周到，这让小刘有些沮丧且不知所措。针对这种情况，督导者首先应采取的做法是（)。

A. 讲解居家养老的有关政策
B. 介绍老年人的认知特征
C. 给予关怀并处理负面情绪
D. 分析服务效果不佳的原因

社会工作者小王发现养老院内的一些老人情绪低落，觉得人老了没有用没有用，什么都做不了，只能挨日子。为了改善这种现状，小王从尊重每位老人做起，通过入户探访、开办主题兴趣小组等方式，协助老人们体察到自己的内在价值与能力。小王的上述做法依据的理论是（)。

A. 精神分析理论
B. 认知行为理论
C. 人本主义理论
D. 增强权能理论