National University of SingaporeECONOMICS CFA2020 Mock Exam A - Morning Session

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1 Which statement in Sedgwick’s hiring announcement is most likely an incorrect reference to the CFA Program or the CFA designation? The statement referencing: A the skills the program cultivates.... B the demands of the study program for the CFA designation. C her ability to manage investments and guide the process. 2 Are the recommendations submitted to the board of directors most likely consistent with the CFA Institute Recommended Procedures for Compliance with Standard III(B): Fair Dealing? A Yes B No with regard to Recommendation 12020 Level II Mock Exam (A) AM 3 C No with regard to Recommendation 2 3 When considering the three points of Tao’s new policy as a whole, which CFA Institute Standard of Professional Conduct is he most likely addressing? A Standard VI: Conflict of Interest B Standard II: Integrity of Capital Markets C Standard V: Investment Analysis, Recommendations, and Actions 4 Did a violation of the CFA Institute Standards of Professional Conduct most likely occur as a result of the SedgeFin promotional letter? A No B Yes, with regard to Standard VI: Conflicts of Interest C Yes, with regard to Standard IV: Duties to Employers 5 Who has most likely violated the CFA Institute Standards of Professional Conduct regarding the newspaper interview? A Tao B Johnson C Both Tao and Johnson 6 In addition to being in violation of Standard IV(B): Additional Compensation Arrangements, which other CFA Institute Standards of Professional Conduct has Johnson most likely violated? A Standard IV(A): Loyalty B Standard III(A): Loyalty, Prudence, and Care C Both Standard IV(A): Loyalty and Standard III(A): Loyalty, Prudence, and Care [Show More]

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