merito

1：Husband/wife... both working in finance jobs. They routinely discuss possilibility of clients entering mergers, etc.
Has they violated Standard of confidentiality(Yes/No) and Standard of Material non-public information(Yes/No)?

我的答案是YES, NO, 因为没有操作。。。

错了， 都违反了！ 知道了就应该力求公布出去

merito

5：A member put CFA logo on his individual letterhead or business card. In order to prevent CFA is incorporated into company name, he doesn't place in such close proximity to a company name and put at the bottom of the card. Has he violated Standard VII(B) for his individual letterhead or business card? (Yes/No)

这道我肯定错了不过国外的论坛讨论也有争议，不过集中在YES YES 和 NO NO 上

NO NO

merito

4：Which of the following is likely to violated Market Manipiulation for buying and immediately selling to have tax benefit(Yes/No) and using Legitimate trading strategy to exploit market inefficiency(Yes/No)

NO  NO

merito

3：Questions on content in fundmanetals of compliance?

A firm is existed for 12 years, accrording to GIPS, the firm need minimum compliance records:

choices: .3 years, 5 years, 10 years, 12 years

5Year Minimum

michellecx

同意  实在受不了丰台的考场了 什么安排都是

本来人就很晕了  考场还这么闷 尤其下午 连空调都不开  考一半就不行了

还有，老师的效率就不能高点  有的考场都填答题卡了  有的连考卷那都没拿到

以为CFA 协会很严谨  不过如此

violaine

结果要等这么久，真是郁闷哪~

hedger777

http://www.analystforum.com/

this is the english forums related to the CFA Exam Discussion

hedger777

Fail Ethic = fail the whole thing?

in the class i took (put on by people who have graded the exam) we were told that if you are borderline, ethics can push you one way or the other...e.g pass rate is 65%, you get 64 but great on ethics...pass.....conversely, you get 65 but terrible ethics---fail.

Kelvinhehu

Who is preparing taking the eaxm again?

ffkly

QUOTE:

以下是引用merito在2008-6-12 10:30:00的发言：

3：Questions on content in fundmanetals of compliance?

A firm is existed for 12 years, accrording to GIPS, the firm need minimum compliance records:

choices: .3 years, 5 years, 10 years, 12 years

5Year Minimum

我选了10年,题目不是很清楚好像没说他们什么时候开始comply的