CFA 2018 quest bank questions reading 03 III standards of professional conduct guidance duties to clients
Bạn đang xem bản rút gọn của tài liệu. Xem và tải ngay bản đầy đủ của tài liệu tại đây (594.33 KB, 16 trang )
'2()57*ÿ$+,,,-ÿ.4(7)(/)3ÿ6 ÿ0/6 233567(1ÿ!67)124ÿ3ÿ415)(722-ÿ514523
46ÿ!152743
01234567ÿ9
ÿ6 ÿ
6234ÿ,5-ÿ
"$$"
7$
ÿÿ
89:9ÿ;ÿ9ÿ;<<=>ÿÿ?@ABCÿ?EF@?GÿHIHJÿ;ÿ;J:KHÿ=9ÿKHÿHLM<ÿ;HÿLÿL
TLLH>ÿ9ÿLHUÿQKK>QÿJH>ÿLHRVÿ;>9S
! W:>ÿ<
01234567ÿ9"ÿ6 ÿ
ÿÿ#
01234567ÿ9$ÿ6 ÿ
ÿÿ
XKH<ÿY<
;K:K<ÿ:HKSÿ]HÿKÿ9Kÿ9ÿ9KÿKÿ>HKÿJK<ÿ;ÿPQÿRLH:ÿÿ9ÿ:KLK<ÿQKH\ÿKJÿJÿÿ=9ÿ
K=HÿIÿKMÿ9ÿ<HK:ÿ;HÿH\ÿHÿ9ÿ9Hÿ9<J>Sÿ`JHÿTKJKHJÿaXbZÿTKM<VZÿY<<
ÿLHQJÿÿQKK>ÿ]HUÿK::ÿ=9ÿKVÿ\=<J>ÿ;ÿ9ÿH\ÿLH;H:S
QKVÿK::Lÿ]HUÿK::ÿMÿQKVÿ<VÿQKK>ÿ9ÿLH;<ÿÿKÿM:9QKH\ÿHÿJRS
! QÿJ:<ÿÿHÿÿKÿKJPHVÿH
89:9ÿ;ÿ9ÿ;<<=>ÿKQÿH>KHJ>ÿK<<:K>ÿHKJÿÿXcddeX^NÿÿÿLHQM<ÿJHÿ9ÿTKJKHJÿÿK<<:K
HKJ
MKJÿLÿKVÿQ9Jÿ9ÿ;HQÿJQÿKM<ÿÿ<>ÿKÿ9ÿK<<:KÿLH:JH
9KÿMÿJ:<JÿÿK<<ÿ:<S
MKJÿLÿ:QLKÿKHHK>QS
! ÿKÿLHfHKKÿMKÿPHÿK<<ÿKM<ÿK::S
01234567ÿ9%ÿ6 ÿ
89:9ÿ;ÿ9ÿ;<<=>ÿ=
! YKP>ÿ=<<ÿJ;Jÿ>J<ÿ;HÿLHfJQKS
ÿÿ&
01234567ÿ9
ÿ6 ÿ
ÿÿ
01234567ÿ9 ÿ6 ÿ
ÿÿ!
01234567ÿ9"ÿ6 ÿ
ÿÿ#!
01234567ÿ9$ÿ6 ÿ
ÿÿ%
&'ÿ()*+ÿ,ÿ&'-.ÿ/'0.01ÿ2341ÿ'ÿ'ÿ-'*ÿ5'5,ÿ'+ÿ'.ÿ60ÿ,ÿ78ÿ-.ÿ9:7ÿ/'0.0ÿ+-*1ÿ;
ÿ
9ÿ'ÿ'99,ÿÿ0<=ÿ()*+>ÿ0.ÿ'+ÿ0
0ÿ;?-<ÿ'+ÿ6'-'*ÿ-0':ÿ4ÿ8ÿ--*
ÿ6ÿ80
'99,1ÿ/'0.0ÿ0-,,+ÿ80ÿ-
0ÿ8ÿ8'ÿ80
58*)ÿ0'0-8+ÿ42@1ÿAB51ÿ'+ÿC98
AD;50:ÿ/'0.0ÿ
EFGHIÿEKLFEM
ÿ<*'ÿ6ÿN'+'0+ÿO4Pÿ7D)'*)1ÿ/0
+-1ÿ'+ÿ2'07ÿ60ÿ6'*5ÿÿ-+0ÿ8
80ÿ-
0ÿÿ8ÿ-Qÿ6ÿ8ÿ=8*ÿ906*:
ÿÿ<*':
ÿ<*'ÿ6ÿN'+'0+ÿO4Pÿ7D)'*)1ÿ/0
+-1ÿ'+ÿ2'07ÿ60ÿ6'*5ÿÿ,'.ÿ'
0'';*ÿR
0)ÿÿ8ÿ-*>ÿ<,ÿQ90-:
4ÿ''*)ÿ,ÿ=8ÿ'ÿ=ÿ-*:ÿ
05ÿ8ÿ,51ÿ8ÿ''*)ÿÿ8'ÿ8ÿ=ÿ-*>ÿ906*ÿÿ8'<*)ÿ<+ÿÿ
<0A8A-
0ÿ-.:ÿS8ÿ''*)ÿ8'ÿ;ÿ6**=5ÿ8ÿ-.ÿ'+ÿ8.ÿÿ=**ÿ9060,ÿ=**ÿÿ8ÿ*5ÿ0
:ÿS8ÿ''*)
'00'5ÿ80
58ÿ'ÿ;0.0'5ÿ60,ÿÿ,
*'
*)ÿ**ÿ'ÿ*'05ÿ
,;0ÿ6ÿ8'0ÿ6ÿ8ÿ-.ÿ<'ÿ'ÿ0ÿ6ÿ-0ÿ0'+ÿ60,
8ÿ=ÿ-*>ÿ906*ÿÿ<'0
ÿQ5ÿ-*:ÿTÿ'00'5ÿ8ÿ0'+ÿÿ;ÿQ-
+ÿ'ÿ'ÿ90-ÿ8'ÿ'990Q,'ÿ8
-
00ÿ,'0.ÿ90-:ÿS8ÿ'-ÿ
'ÿ<*'ÿ6ÿN'+'0+ÿOUP1ÿ3'0ÿ'*5:
'ÿ<*'ÿ6ÿN'+'0+ÿO4P1ÿD)'*)1ÿ/0
+-1ÿ'+ÿ2'0:
ÿÿ<*'ÿ6ÿ8ÿN'+'0+:
B8-8ÿ6ÿ8ÿ6**=5ÿÿ'ÿ9;*ÿ;0'-8ÿ6ÿ6+
-'0)ÿ+
ÿ;)ÿ'ÿ234ÿ
ÿ,,;0ÿ=8ÿ,''5ÿ'ÿÿ;8'*6ÿ6ÿ'
-*V
W80ÿ6ÿ8ÿ;0'-8ÿ6+
-'0)ÿ+
:
X5ÿ'**ÿ90Qÿ6ÿ-.ÿ8ÿ-*ÿ=:
Y5ÿ+0-+ÿ;0.0'5:
4ÿ,)ÿ,''50ÿÿ,5ÿ=8ÿ'ÿ909-:ÿN8ÿ5<ÿ8ÿ-*ÿ'ÿ*ÿ6ÿ-.ÿ'+ÿ')1ÿ7S8ÿ'0ÿ8ÿ=0ÿÿ9-.+ÿ8
9'ÿ)'0ÿ60ÿ,)ÿ-*:ÿS80ÿ+
;*A+5ÿ0
0ÿ+-'ÿ8ÿ)9ÿ6ÿ0
0ÿÿ-'ÿ'0ÿ60ÿ)
:7ÿS8ÿ*ÿ-*
+ÿ-.ÿ8
,''50ÿ8'+ÿ9-.+ÿ60ÿ80ÿ-*1ÿ'+ÿ'-8ÿ-.ÿ8'ÿ*+ÿ=8ÿÿ'ÿ'--
0'*)ÿ,'
0+ÿ0
0ÿ8'ÿQ-+ÿ#Z:ÿÿ8ÿ'
<*'ÿ6ÿN'+'0+ÿOP1ÿ/060,'-ÿ/0'V
W1ÿ;-'
ÿ8ÿ,''50ÿ8'+ÿ8ÿ80-'*ÿ60,'ÿÿ=05:
01%&ÿ'ÿ(ÿ)ÿ'*ÿ+ÿ,ÿ+-)'ÿ).,ÿ/00&ÿ(.ÿ1.ÿ
+2ÿ-*ÿ(,ÿ**ÿÿ).3.-ÿÿ(ÿ*4'ÿ*560
21%&ÿ4+,ÿ(ÿ-,,5.ÿ+,ÿ.7,'ÿ(.+,'ÿ..ÿ3ÿ.+ÿ+2ÿ)+20
3456789
ÿ
ÿ9ÿ
ÿÿ
8++.*5ÿÿ9,*,.*ÿ/86ÿ:;,';&ÿ<.*+ÿ,*ÿ=,.&ÿ4.2.,5ÿÿ,ÿ,ÿ3ÿ(
14.2.,5ÿ3.-ÿ+*+5ÿ(ÿ.,*0
01+'0
21-,,55ÿ3.-0
3456789
ÿ
!ÿ9ÿ
ÿÿ " #
>,.ÿ?,+2ÿÿ,ÿ).3'ÿ-,,5.0ÿÿ?,+2ÿÿ3.*';ÿ1(ÿ,7*ÿ?,-&ÿ).*ÿ3ÿ8+-ÿ@*+,'&ÿ,ÿ.,)*';ÿ5.15
4+(ÿ+-),;0ÿ?,-ÿ(,ÿ).7**ÿ?,+2ÿ1(ÿ.+--*,ÿÿ(ÿ4+(ÿ*.;&ÿ1(+(ÿ(ÿ4;ÿ3.ÿ(.ÿ1
).3'ÿ43.ÿ4;5ÿ(-ÿ3.ÿ(.ÿ+'0ÿA.ÿ(.ÿ;,.&ÿ?,+2ÿ(,ÿ,'ÿ.7*ÿÿ8+-ÿ@*+,'Bÿ4,.*ÿ3ÿ*.+.0ÿ9(
(,ÿ.+7*ÿ)ÿ,*ÿ3ÿ,ÿ+-),0
C+';&ÿ(ÿ4,.*ÿ3ÿ8+-ÿ@*+,'ÿ*+**ÿÿ.,ÿ+,),'ÿ4;ÿ75ÿÿÿ(,.ÿÿ(ÿ)4'+0ÿD(ÿ1,ÿ,.,+7ÿÿ4,.*
--4.ÿ/+'*5ÿ?,+26ÿ1(ÿ1,*ÿÿE.+ÿ(.ÿ+2ÿ)ÿ,*ÿ''ÿ(.ÿ(,.ÿÿ5ÿ+,(0ÿF(ÿ(ÿ*-,*ÿ3.
,'ÿ)4'+ÿ33.5ÿ/
4ÿ,5.*ÿÿ.+*.ÿ,ÿ?,-Bÿ.I0ÿJ.ÿ.7,',ÿ+3.-*ÿ(ÿ+2ÿÿ4ÿ7.).+*&ÿ4ÿ(ÿ7.('ÿ*+**
ÿ).+(,ÿ8+-ÿ@*+,'ÿ3.ÿ(.ÿ+'Bÿ).3'0
*ÿ?,+2ÿ7',ÿ9,*,.*ÿ/=6ÿ9,4';ÿ++.5ÿ).3'ÿ.+--*,ÿ,*ÿ,+K
1%&ÿ4+,ÿ(ÿ**ÿÿ*,'ÿ3,.';ÿ1(ÿ,''ÿ+'0
01L0
21%&ÿ4+,ÿ(ÿ**ÿÿ+*.ÿ(ÿ,)).).,ÿ,*ÿ,4';ÿ3ÿ7-
.+--*,ÿ.ÿ,+ÿ3.ÿ,+(ÿ).3'ÿ.ÿ+'0
3456789
ÿ
ÿ9ÿ
8ÿ=A8ÿ+(,..('*.ÿ-,;ÿ*+'ÿ+3*,'ÿ3.-,ÿ,4ÿ,ÿ+'ÿ1(
1(ÿ3.-,ÿÿ-,.,'0
01ÿÿ,ÿ+,.;ÿ)ÿÿ).+*5ÿ1(ÿ.,.+(ÿÿ+'ÿ).3.+0
21(ÿ=A8ÿÿ<.3,'ÿ=*+ÿ<.5.,-ÿ.Iÿ0
ÿÿ "$
01234567ÿ9
ÿ6
ÿ
ÿÿ
01234567ÿ9
"ÿ6
ÿ
ÿÿ #
&'()ÿ*+'(,ÿ-.&,ÿÿ+ÿ++/0ÿ)1ÿ*(ÿ23ÿ4(256ÿ(7ÿ/51ÿ)1ÿ3ÿ8ÿ*(9ÿ3++7(,ÿ*+'(ÿÿ/',
:;1(ÿ+(ÿ77ÿÿ<ÿ3+=(ÿ>(>/+5ÿÿ=ÿ5(+)/7ÿ)1ÿ72(3ÿ>5(6:ÿ*+'(ÿ1+'ÿ=ÿ'ÿ+ÿ(>(ÿ)1ÿ+ÿ:<0:ÿ(533'+ÿÿ?<5ÿ/+
)B6ÿ*+'(ÿ1/'
ÿ'ÿ+017ÿÿ+2'ÿ+ÿ2/+ÿ8ÿ8+(ÿ'+/76
33'+/0ÿÿ+ÿ)ÿ(>(,ÿ<ÿ/0ÿ+8(ÿ>>7ÿ<0ÿ?<5ÿ13/8ÿÿ5((<(+
1ÿ(06
! ÿ'ÿ+017ÿ<5+ÿÿ'ÿÿ)/'ÿ2/+ÿ1ÿ</7+ÿÿ>((2ÿ58'+/06
-+/2ÿ*(,ÿ-.&,ÿ1+ÿ<ÿ(+8(('ÿ8(3ÿ1ÿ<(B(+7ÿ1ÿ8ÿ1ÿC()7ÿ-3>+0ÿÿ1ÿ>(8/ÿ3++73
'>+(36ÿÿ>(8/ÿ3++73,ÿ*(ÿ/+(ÿ1+ÿ5/ÿ+(ÿ7(>'ÿÿ1(ÿ'2ÿ+55('7ÿÿ>(8/ÿ2+/,
'2''ÿ+ÿ8//)
?(>ÿÿ>ÿÿD%,%%%
?(>ÿ ÿ8(3ÿD%,%%ÿÿD%%,%%%
?(>ÿEÿ3(ÿ1+ÿD%%,%%%
F1ÿ(533'+ÿ+(ÿ+5'ÿ(ÿ(+'ÿ+(ÿ+',ÿ+ÿ>+(5/+(ÿG5ÿÿ8//)'ÿÿ5335+7ÿÿ1
7(>6ÿ&ÿ1ÿHÿ31/0ÿ37,ÿ*(ÿ77ÿ1+ÿ1ÿG57ÿ>(+55ÿÿ+ÿ<(+51ÿ8ÿ-.&ÿÿ4+'+('6ÿIÿ8
*(9ÿ5J)(B(ÿ(>/ÿ1+ÿ1ÿ7(>7ÿ+>>(+51ÿ1/>ÿ1ÿ53>+0ÿÿ+>>/07ÿ1ÿ4+'+('ÿ(7+('7ÿ>(8/
(533'+6ÿÿKÿ8(1(ÿ77ÿ1+ÿ<5+ÿC()79ÿ2(+//ÿ>(8(3+5ÿÿ3(ÿ(7/0ÿ+885'ÿ<0ÿ+5ÿ+B
ÿ1ÿ171ÿ2+/ÿ>(8/,ÿ1+ÿ1ÿ>(8/ÿ1/'ÿ+Bÿ>((0ÿ2(ÿ1ÿ3+//ÿ2+/ÿ>(8/6ÿF1+ÿ1/'ÿ*(ÿ'Lÿ
*(ÿ1/'
>(>+(ÿ+ÿ)(ÿ(>(ÿÿ1ÿ-MIÿ'5(<7ÿ1ÿ>( '+5+ÿ13/8ÿ8(3ÿ1ÿ>(! 'ÿ17ÿ5ÿ1(ÿÿÿ<(+51ÿ)1ÿ1ÿ4+'+('6
01234567ÿ9
$ÿ6
ÿ
ÿÿ %
&ÿ'>'ÿ++/0ÿ1+ÿ/0ÿÿ5/6ÿIÿ8ÿ1ÿ5/9ÿ/+(7ÿ1/'7ÿÿ+ÿ<(B(+7ÿ8(36ÿC5+ÿ8ÿ1ÿ/+(7ÿ1/'7
<0ÿ1ÿ5/,ÿ1ÿ<(B(+7ÿ8(3ÿ(5/0ÿ<7+ÿ+//)7ÿ1ÿ++/0ÿÿ+>ÿÿ1ÿ8(39ÿ53>(ÿ)(Bÿÿÿ1ÿ8(39
(+(51ÿ8+5/6ÿ;1ÿÿ+//)+ '5/ÿ1ÿ(/+1>ÿÿ1ÿ5/6
ÿ1ÿ((5ÿÿ1/>ÿ3++7ÿ1ÿ5/9ÿ+556
! 'ÿ<1ÿ8ÿ1ÿ+5ÿ/'ÿ1(6
01234567ÿ9
ÿ6
ÿ
ÿÿ
01234567ÿ9
!ÿ6
