CFA习题《道德专业标准》习题精炼：CFA专业行为标准

A is correct because under Standard I(B) members and candidates must protect their independence and objectivity. Agreeing to provide objective research coverage of a company does not constitute a violation of this standard provided the analyst writing the report is free to come up with their own independent conclusion. Smith can agree to provide research coverage but cannot commit Granite’s research department to providing a favorable recommendation. 

B is incorrect because providing research coverage in this situation does not constitute a violation of the Code and Standards as long as the independence of this research is not compromised. 

C is incorrect because providing research coverage in this situation does not constitute a violation of the Code and Standards as long as the independence of this research is not compromised.

A is correct because trading on the information is restricted as it relates to a tender offer; it is clearly material, nonpublic information [Standard II(A)]. 

B is incorrect because the information could be considered to come from a reliable source because if comes from senior management, is nonpublic, and should not be used since it concerns a tender offer. 32018 Level I Mock Exam AM 

C is incorrect because the information is material and is nonpublic so that it should not be used as the basis for taking investment action. There is simply not enough information provided to determine if there is a reasonable and adequate basis for investment action