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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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.
Yuan, CFA, is a fund manager. When Yuan is soliciting new clients, he claims that his investment return has exceeded 50% in the past three years. Based on that fact, he can guarantee such return to his new client in next year. Which of the following statements is the most accurate to comply with the CFA Institute Code of Ethics and Standards of Professional Conduct？
A. Yuan can guarantee that return to his client based on his excellent investment history.
B. Yuan does not need to mention his role in the history of investment action.
C. Yuan failed to distinguish the fact and opinion, he can’t use his historical investment return to imply the future performance.
Which of the following is a violation based on AIMR’s Standard’s of Pro fessional Conduct？
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.
Yuan, CFA, is a portfolio manager works for Golden Finance. Alex Muller is one of Yuan’s clients. They have not been in contact for more than three years. Recently, Alex suddenly called Yuan and said that he made a lot of money and wanted to invest in some high-risk and high-yield investment products. Yuan immediately recommended and invested in some private equity funds. As usual, Yuan also prepared the list of these funds, the details of the proceeds, and sent them to Alex monthly. Did Yuan most likely violate the CFA Institute Code of Ethics and Standards of Professional Conduct？
A. Yes, he violated for investing private equity funds.
B. Yes, he violated for the details of proceeds.
C. No.
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