【文章內容簡介】 ndards of Professional Conduct will she probably have broken if Susan plys with her manager instruction? A. IV() Research Reports. B. IV() Portfolio Investment Remendations and Actions. C. IV() Prohibition against Misrepresentation. D. II(C) Prohibition against Plagiarism. 18. John, CFA, wants to undertake an independent consulting practice while employed. He must get written permission from both his employer and the pany who is hiring the analyst39。s consulting services. According to the AIMR Standards on Professional Conduct, which of the following statements about the permission request is most correct? This permission request to the employer should mention the: A. type of services he will perform. B. pensation he will receive. C. time duration the services are expected to cover. D. All of the above. 19. David, CFA, changes his buy remendation on Weath Electronics Limited to sell based solely on a conversation between several workers of Weath Electronics Limited he overheard in a bar. Which standard did David violate? A. IV(A. 1) Reasonable Basis and Representations. B. IV() Portfolio Investment Remendations and Actions. Mock Exam 1 (Afternoon Session) (Rev. 1) 8 C. IV() Prohibition against Misrepresentation. D. V(A) Prohibition against Use of Material Nonpublic Information. 20. According to AIMR Standards of Professional Conduct Standard,April, a CFA candidate, just started her new job as an analyst and plans to make her first visit to a pany. which of the following statements regarding special cost arrangements and gifts is TRUE? To39。ply with the standard, April should accept: A. only one gift per year from a pany. B. air transportation and hotel expenses on pany visits only. C. pany air transportation only if mercial transportation is not available. D. reasonable expenses and pensation from a pany if she notifies her employer properly in writing. 21. Billy, CFA, tells a prospective client that the earnings of Kamp。K Limited will be $ per share next fiscal year. Billy violated: A. Standard V(A) Prohibition against Use of Material Nonpublic Information. B. Standard lV() Distinguish between facts and opinions. C. Standard IV() Avoid any material misrepresentations. D. Standard IV() Preservation of Confidentiality. 22. According to AIMR Standards of Professional Conduct Standard, which of the following activities violates Standard IV(), Priority of Transactions? An analyst: A. buys shares for his personal account after all the firm39。s clients have been informed and their trades pleted. B. buys stock for his own account on a personal instinct while not doing so for his clients. C. makes trades for his son39。s account after he trades his institutional accounts. D. makes trades for his firm39。s account before handling the client trades. 23. Stephen, a trainee and CFA candidate, is in his first week with SKL Limited, a local brokerage house. Stephen was given a phone list and told to make a few cold calls to round up some clients. To generate business he has made various statements. According to AIMR Standards of Professional Conduct, in which of the following statements has Stephen NOT made a material misrepresentation? A. I personally guarantee this investment. It39。s a sure winner. B. My firm has consistently outperformed the market indexes and will continue to do so. C. Trust me, I39。ve been in the investment business long enough to know what Mock Exam 1 (Afternoon Session) (Rev. 1) 9 I39。m talking about, D. My firm cannot provide all the Financial and investment services you need, but we do offer advisory services. 24. Catherine, a CFA charterholder and an analyst for Damp。G Investment Limited, is preparing a buy remendation on the Toys Limited. According to AIMR Standards of Professional Conduct, which of the following is NOT a conflict of interest that he would normally disclose? A. Catherine 39。s son has a trust fund that holds a substantial block of Toys Limited stock. B. Catherine has a consulting contract with the Toys Limited. C. Catherine 39。s nextdoor neighbor works at Toys Limited. D. D.. Damp。G is a market maker for the Toys Limited stock. Mock Exam 1 (Afternoon Session) (Rev. 1) 10 25. Amy invests the following amounts at the end of Year1 to Year4: Year 1 2 3 4 Amount 1000 1500 2020 2500 ($) If it earns a 20 % pounded interest rate, calculate the accumulated amount at the end of Year 4: A. $7,000. B. $8,576. C. $8,788. D. None of the above. 26. There is a bond contains that coupon of $ 80, it pays at the end of each year indefinitely. The coupon payment occurs one year from now and the required rate of return is 12 %. What is the bond worth today? A. $625. B. $. C. $. D. None of the above. 27. An analyst constructs a histogram and frequency polygon of monthly returns for aggressive equity funds over a 20year period. Which of the following statements about a histogram or a frequency polygon is FALSE? A. Both a histogram and a frequency polygon provide a graphical display of data found in a frequency distribution on. B. A frequency polygon is a bar chart of continuous data that have been grouped into a frequency distribution. C. The height of each bar in a histogram represents the absolute frequency for each return interval. D. All of the above. 28. Based on the following information about the returns for 11 bonds, find out the mean, median and mode. 10,10,12,14,16,16,16,17,17,18,19 Mean Median Mode A. 16 16 17 B. 16 15 17 C. 15 15 16 D. 15 16 16 Mock Exam 1 (Afternoon Session) (Rev. 1) 11 Mock Exam 1 (Afternoon Session) (Rev. 1) 12 29. A sample of monthly returns of aggressive growth funds contains 35,20,30,50and 55. Fi