2020年CFA考試《CFA三級》考試共題，分為。小編為您整理Ethical and Professional Standards (2)5道練習題，附答案解析，供您備考練習。

1、【單選題】

A.buying an asset class in which she has no prior management experience.

B.buying assets that are inconsistent with the portfolio’s Investment Policy 

C.failing to notify the client that she would temporarily deviate from the client’s 

正確答案:B

答案解析:B is correct. Under no circumstances should a manager take investment action that is inconsistent with 

2、【單選題】

A.Disclosure of Conflicts.

B.Independence and Objectivity.

C.Additional Compensation Arrangements.

正確答案:C

答案解析:C is correct. Riser least likely violates Standard IV(B)—Additional Compensation Arrangements 

3、【單選題】

A.Yes.

B.

C.No, because the plan only provides for contacting and communicating with 

正確答案:B

答案解析:B is correct. According to the guidance provided in Section D(6) of the Asset Manager Code, the 

4、【單選題】

A.No.

B.

C.

正確答案:B

答案解析:B is correct. Investment decision-making due to speed or based on third-party research alone is 

5、Does Danko violate CFA Institute Standards when he directs trades to FTI?【單選題】

A.No.

B.

C.

正確答案:A

答案解析:A is correct. Danko directs his trading with FTI only after taking into account FTI’s ability to provide