题目内容

When Peter Jiang, CFA, joined Brown Investing, Brown began using a quantitative stock selection model that Peter had developed on his own personal time prior to his employment with Brown. One year later when Peter left the firm, he found the original copy of the model that he had developed in a file at his home and presented it to his new employer, who immediately began using the model. According to the Standards of Practice Handbook, did Peter violate any CFA Institute Standards of professional Conduct()

A. No.
B. Yes, because he failed to act in Brown’s best interest.
C. Yes, because he misappropriated property that now belonged to Brown.

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Which of the following statements concerning coupon rate structures is FALSE ()

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C. Accrual bonds, like zero-coupon bonds, always sell at a discount to face value.

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A. 物体打击
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All of the following are poor examples of supervisory responsibility EXCEPT:()

A. Proper supervision is not exercised because the supervisor’s income is partially based on unsupervised or improper trading activity.
B. Poor procedures allow a portfolio manager to designate a trade to an account or portfolio after the outcome of the trade is known.
C. Incorporating a professional conduct evaluation as part of an employee’s performance review.

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