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2010年12月CFA一级第十套模拟试题答案

Sample Examination Structure

Question Topic Percent Minutes

1–18 Ethical and Professional Standards 15 27

45–78 Financial Statement Analysis and Corporate Finance

QUESTIONS 1 THROUGH 18 RELATE TO ETHICAL AND PROFESSIONAL

STANDARDS AND ARE ALLOCATED 27 MINUTES (OR 1 . MINUTES

EACH).

1. Zeller and Toffler have both passed Level II of the CFA Exam Program. Zeller

circulates a resume stating that he is a candidate for the CFA designation and has

passed Level II of the CFA Program. Toffler circulates a resume stating that he is a

CFA II. Which of the following statements is true?

A. Only Zeller has violated the Code and Standards.

B. Only Toffler has violated the Code and Standards.

C. Both Zeller and Toffler have violated the Code and Standards.

2. According to the CFA Standards of Professional Conduct, when presenting material

to

others, members will not "copy or use, in substantially the same form as the original,

material prepared by another without acknowledging and identifying the name of the

author, publisher, or source of such material." Members may use, without

acknowledgment, information from other sources if the information:

A. was originally communicated verbally.

B. does not include a buy or sell recommendation.

C. is factual information published in recognized financial and statistical reporting

services or similar sources.

3. Clifford Brown is a partner in a money management firm. Brown recently attended

a seminar where he learned about a quantitative model presented by Art Dixon. Upon

returning to his office, Brown began testing the model and making a few minor

alterations to it. He showed his model to his partners, who were impressed and

decided to promote the model as proof of the money management firm's continuing

innovation and value added. In the next newsletter mailed by the firm, Brown

included a discussion of the model, the results of tests of the model, and financial data

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