年月二級百題預(yù)測1.ETHICS2.3.ECONOMICS4.FINANCIAL5.FINANCE6.EQUITY7.FIXEDINCOME8.9.INVESTMENTS10.PORTFOLIOMANAGEMENT1-4441.Ethics1.1.Points1.1.1.between.I(C)Misrepresentation,Performancepresentation,V(B)CommunicationclientsI(C)performancepresentation,soperformancewithofservicequalification,andplagiarismIII(D)ofperformancetoclients,sothemisleadingstatementconcerningperformance,includinggivehintthehistoricalyield,violatestandard.V(B)focusesdisclosingmember'sownchangesclients,clientsknowtheirandopinion..III(B)dealing,VI(B)PrioritytransactionsIII(B)constrainingfairnessoforderoftransactionbetweenclients.VI(B)orderoftransactionamongclients,employers..IV(B)Additionalcompensationarrangement,VI(A)DisclosureconflictsIV(B)ondisclosingadditionalthird-partyVI(A)ondisclosingpossibleconflicttopublic,sothatclientsjudgments..IIMaterial判斷material的條件:reliableunambiguous是materialEarningsM&A,acquisitions,tenderorjointventures.Changesinmanagement.processes,ordiscoveries.Newlicenses,trademarks,orapproval/rejectionofaproduct.Developmentsor(e.g.,theacquisitionorlossofaChangesorthenolonger2-444relyonreportoropinion.securities(e.g.,seniorsecurities,callsofsecuritiesredemption,plans,splits,dividends,ofsecurityholders,orsalesofadditionalsecurities,increditratings).BankruptciesSignificantdisputes.Governmentoftrends(employment,housingstarts,currencyetc.).如果公司擁有MNI，對于自營交易，分為兩種情況：如果做，firmsthatcontinueshouldinstructtheirtopassivetomarket-thatis,onlysideofunsolicitedtrades;Intrading,TheprudentactivityIffirmahightheadequacyoftheirinternalstringentreviewoffirm.IIILoyalty,prudence,care“Softorcommissions”shouldbenefitclients,notIfahighercommissioncorrespondingbenefittotheclient,violate.Ifbenefitclient,shouldclientsthemethodsorpoliciespotential(benefitotherclients)OK,stilltoseek“bestprice”andbytheorservicesfromwillbeneficiaries.addition,shoulddiscloseclientthatthenotbe“Bestexecution”toatovalueoftheportfoliowithinobjectivesand如果客戶執(zhí)意要求，而不考慮利益的最大化，應(yīng)該取得客戶的書面同意。.IV(C)ofsupervisorscomplianceensuring3-444suchperiodic在建立制度時，必須明確：What如果將管理的職責(zé)委托給（）他人，管理者不能免除監(jiān)督管理的職責(zé)，且必須instruct被委托的人howtoviolationsoflaws,code.對于不合理(inadequate)的管理制度，管理者應(yīng)提請上層注意并提出改進(corrective)如果由于不存在（nonexistent）制度或制度不完善(poor)，管理者必須以書面形式拒絕接受管理職責(zé)until公司有了嚴(yán)格的規(guī)章制度，也進行了嚴(yán)格監(jiān)督，supervisor不違反這條Codesofshouldbeinplainlanguageconsistofprinciple-basedtoallofemployees,unencumberednumeroustotheofSupervisorshouldcontinuallypersonnelcomplianceprocedures.Amember/candidatewithsupervisoryresponsibilityshouldactivitiesFirmspoliciestoandacceptableworkplaceactions,vacationsspecificpositions.Theequalofallfirmpoliciesincreatingastrongworkalltobeimportant.如果發(fā)現(xiàn)有人違反制度，管理者必須：PromptlyThoroughlyAppropriatelylimitoformonitoring,warningorpromiseandenough.Adequateprocedureclearlywritten;tounderstand;DesignateacomplianceCreateaofchecksbalances;Outlineoftheprocedures;Outlineconduct;4-444Procedurereportingviolationsandsanctions.Oncecomplianceisinstituted,thesupervisorshould:Distributeittoproperpersonnel;Updateitneeded;Continuallyprocedures;Issuenecessary;Requireprofessionalconductevaluations;Reviewmonitorcomplianceandviolations;aviolation.VI(C)-ReferralfeesFeesandCandidatestotheirclients,prospectiveclients,compensation,consideration,ororpaidrecommendationofproductsorservicesagreementservices.5-4441.2.PracticeCase1:（考點：）BetterbySobhani,isadviserservingmiddle-incomeclientsalongwithhigh-networthclients.Sobhanialone,becauseofhasexpandedto20continuesclientsandajuniorisIofHelearnedthatSobhanihasbeenamanysoheSobhaniifhecanprovideonSobhani"Ourthecurriculumreadingsandbasedondonotthinkyoushouldaboutover-the-counterbeingonthebodyofknowledge.aweightingonequitiesfixed-incomeanalysis,Isurethewillasimilaremphasis."IitseemedtohaveweightJolialongtimeclientofisinherlatepoorSheplanstoretireinthatSobhanisellofherholdingsduringapointSobhaniassetsonlyinbondsandpreservehercapitalherAftercallsSobhanisomeequityportfolio.SobhanianotetotellingherbettertoinstockrightWithstocksapproachingall-timehighsitisnottoownmissopportunitytheofamarket.Ithatyouleast60%ofyourstocksofwhatis,opinion,arisingthenextcoupleofyears."ThenextSobhaniissurprisedtoasecuritiesindustryregulatorappearatoffice.Theregulatoracomplainthasbeenaboutclientsoinitialassessmentofcanbemade.Sobhanithoseoncoveringpastsevenlocalstatutes.Forfilesolderthanhetheregulatortotheclients'SobhanitotoothertheandtocarefulnotescommentsorhasconcerningcomplianceThefirm'scompliancepoliciesandtheSobhaniplanstousehevisitreflectinthesedocumentsoverthepastyears.InameetingwithSpenceraclientsoldbusinessover6-444$100million,SobhanilearnsplanstoquitPurcetohissaleproceedstobuildwithinatruststructure,hecanpasscapitalontohistwinwho19year-oldstudents.SobhaniPurce:"ConsideringyourobjectivesIdevelopingcountriesindiversifyingtheirlong-durationprojects,highmargins,apositivetoinflation.Theseofcashinjections,patiencealongoutperiod.But,benefitstoofIyou,includingdiversification,exposuretoandreturns,which8-12%basedreviewofsimilarSobhanitwoclientstotheirHetoalicensedwhospecializesinSobhanipaidabythewhichhedisclosesonceaclientanThebothclientstheopportunitytoinaoncommercialOneofdeal,butSobhaniotherclientdeferhisbecauseofBut,thefinallyisReviewingSobhaninoticesunauthorizedcardpaymentsthousandsofJanisSobhani'sconfessesobtainingacardSobhani'snameandusingcardtoLocallawtotheirofbecauseWilderiscousin,heher;IwillholdcheckbookandifyoueverdosomethingIwillyou1.WhendiscussingeitherSobhaniorviolateVII–ResponsibilitiesaMemberorCandidate?SobhanithebothSobhaniviolatedC.No.2.WhichofSobhani'stotheInstituteofConduct?HisAssetC.The7-4443.Withtohisvisit,SobhanimosttheofProfessionalConductconcerningwhichofCompliancepoliciesJuniorC.Client4.Sobhani'stoPurcewithtoapotentialismostofProfessionalConductconcerningwhichofPerformanceDiligenceC.Suitability5.ConcerningtoSobhanimostofProfessionalConduct?toDealing.toFees.C.No.6.WithtohisSobhaniInstituteStandardsofProfessionalConductconcerningwhichofKnowledgeofLawMisconductC.Conflictsof8-444Case2:（考點：Codeand）JacobisamanagerForksonassetmanagementandAfterchartermonth,KosteckatoBope,aclient,inamajorisincriticalcondition,isasingleaPaveenNathoo,inhermid-twenties.Sincetheaccident,hasmanagedherpayingallexpenses,includingwithKosteckahighlightedandgoalofcapitalpreservation.hasindicatedhermanagingtheaccounttomanagementfirm.petitionedthecourttoappointherpoweroflegallymanagePriorcourtdecision,toinvestheraccountinitialofasought-aftersocialmediayettoaprofit.Thefollowingweek,courttobehalfofherGoinginherhome,documentsshowingembezzledfromhisadevelopmentMostofthesefundsplaceddirectlywhichisresponsible.aboutherdiscovery;Kosteckadoesactonthisinformation,becauseitisalargeNathooestablishesanon-discretionaryForksonherestablishedKosteckaboardofJ,asmallersocialmediacompetitortoBasedknowledgeoftheofaevenitisnotyetprofitable.byinsocialmedia,ofIPOaccount,allWheninformsofpurchase,sheconcernaboutherresponsibilitiesofknowledgeoverseeingaofprofessionalshehaspast,includingandWhenheincollege10tooneoftherelationshiptotheirwedding,ofSincethen,hascontactwiththeandTheontheoftrading,doublingitsopeningprice.hisclientsmultifactorvaluationmodelusedbyForksonisstillundervaluresearchnext9-444holdtheirsimultaneouslyshouldselltheirbecauseheispricesoon.hehasonbeliefbysellingholdingsofJabbertalkshares.ignorestosellJabbertalk.thenextweek,75%.sesharepricedecline,becomesfuriouswithbecausehenotsellofJabbertalkinheracomplaintwithSallyclaimingshemisledonthevalueoftheIPOinthedaysimmediatelyaftertocomplaint“ThetheholdJabbertalkhasonlypassedIIacharterItoCdesignation,soImorequalifiedtoclients’Inordertobuildbase,performanceinformationtoshowprospectiveclients.HecompositeperformancebasedonsimilarclientportfoliosincomplianceGIPSStandards.addition,hisowncompositeperformance,includingallheThisassuminghadsoldofJabbertalk.Alonghisperformancerecord,adisclosingfollowinglanguage:“Ifyourismanagedabasis,youmightsimilartoshown1.WithtobyinshouldmostComplyherFollowC.Seekcourt.2.notactingwhichStandardProfessionalConducthasviolated?Prudence,andKnowledgeofLawC.Dutiesto3.Withtoinvestinginexperts,mostneedstodiscloseconflictstohis:10-444BoardC.4.IntohandlingofwhichoffollowingInstituteofProfessionalConductdidheviolate?PriorityofCommunicationwithClients.C.Dealing.5.Whenhimselfcomplaint,hemostInstituteCodeofEthicsandofProfessionalconcerningthe:Righttousedesignation.Misrepresentationofmeaningofdesignation.C.candidacy6.performancemostconformsIIIPerformanceto:CompositessimilardiscretionaryandofC.Disclosure11-444Case3:（考點：）Thegovernmentofadevelopingpublisheda(RFP)developmentofpoliciestobusinessconductofcapitallicensees,thehopeofconfidenceamongKingfisherFinancialwithaincludingthefollowingthefirmshouldwintheJustification1:WithateamofcharterKingfisherourtodesignpoliciestoupholdenhancecapitalJustification2:EachteammustannuallyorhercommitmenttoabideCodeofEthicsofProfessionalConductStandards).Justification3:addition,everymemberpassedoftheKingfisherisithadwonTheKingfisherteamofleaderKhalidJuma,VimalBachu,AnilaKingfisherandthegovernmentagreetheintegrityistoindustry-widecodeofconductbasedCodeandCodeandStandardstogovernment,toonmainareas:professionalism,capitalclients,andTheKingfisherteamsubsequentlyfollowingLevelsProfessionalismFinancialservicesmustactinamanneralltimestohelpintegrityofcapitalsuch,servicesmustthattheymeetaminimummajormust(1)conflictsofinterest,(2)servicestoclients,(3)outlineallmanagercompensationclients.CapitalFinancialservicesmustofcapitalbyensuringinsiderobtainedmanagedafrombeingInaddition,nofinancialservicesprofessionalparticipateindevisedtomisleadorprice-settingDutiesClientsClients’mustcomebeforethoseofservicesthatclients’allportfoliosmustbetoeachplanandmustacrossallassetclassesFurthermore,needsobjectivesportfoliosif12-444RecommendationsAllrecommendationsshouldbeafterresearchbyoronbehalfofInaddition,eachRequirement1:bebysoonensurebasisanddiligencepoliciesRequirement2:beassessedtodeterminequalityofovertime,andRequirement3:includenamesofteamwhotookpartinandwithTheKingfisherteamgovernmentcommitteemeettooncodeofconduct.Membersofsuggestfollowingadditionalpolicy:financialservicesfirmmustacompliancesupervisortoensurethat1:inplaceoflaws,rules,regulations,firmpolicies,theindustry-widecodeofconductandtocompliancepolicies;2:firmhascompliancepoliciesitallpersonnelonthesameand3:inadequatecorrectinadequateproceduresseniormanagementfor1.WhichofKingfisher'sintheitsqualificationsmostviolatestheStandardsofProfessionalConduct?Justification1Justification3C.Justification22.WithtostatementtoLevelsofwhichrequirementoftheInstituteofProfessionalConduct?ofservicesCompensationC.Conflictsof3.DoesKingfisher'sproposedtoviolateStandardsofProfessionaltononpublicinformation.No.13-444C.tomanipulation.4.WhichofKingfisher'sproposedtoensureDutiestoistoviolationsofofProfessionalConduct?ThecallingaDiversifiedportfolio.plan.C.Periodic5.WhichofKingfisher'sproposedismosttopreventofV(A):ReasonableBasis?13C.26.WhichofsuggestedcommitteewouldIV(C):ofSupervisors?32C.114-444Case4:Lindsey（考點：Codeand）LindseyCarlyle,isaadivisionofisafull-servicefirm.TheGroupallofdivisionsCodeofEthicsandofProfessionalConduct.Carlylewritingaonaspecialtytotime,ofseniorhaveservedonofofnoneofservebankingdivision,byaChinesewalldivision,intheirinitialofferingago.CarlyleofaBuy”withahigh-riskovernextsixsheutilizeddeterminingherShedoesnotmentiontherelationshipswithThebyhersupervisorbeforebeingdisseminatedtoallclientswithaincludingMariettaInvestments(Marietta)assetmanagementdivisionofScottamanagerHeMariettaajunioranalystcurrentpositionaWhenhetheportfoliomanagementgroup,withequityspecializesmanagingsmallvaluestockspensionfundsandahigh-net-worthindividuals.knewCarlylefrompreviousinontheunderandpurchaseswheresuitable.Allofhimmanagingtheirfunds.decisiontopurchasehedeterminesthenumberofneedbepurchasedallofhissubmitsthedepartment.toandtheaccordingAllocationThe“Clientparticipatinginablockshallpriceandbecommission,ifAllshallbemadeonabasispriortoorapartialorpartofthepurchasesamutualfundhemanages.alltheinthemutualresponsibilityReneeStevens,ChiefCompliancevaluation,aboutpurchaseofandprovidepurchase.theexplanation:“Subsequent“StrongBuy”recomme15-444analystLindseyCarlyle,Shippersduetoitsprofilegrowthopportunities.Whilethepurchaseoftobealargeasmallcapvaluemightquestionable,itnicelywithinpurposeobjectivesoftheoffund,eveninclusionofPaladin,clearlyplacesmallcapvaluestyleFollowingofoneofhisclientsquestioningpurchaseofportfolio.TheclientpurchasenotincompliancewiththeclpolicyandaHeplanstoclienttoupcomingmeetinghehopestoschedulewithCarlyletoonPaladin.Carlyleopportunitiesandsatisfaction.CarlylemeetpotentialnewclientsHebelievesthatdemonstratingStreetanalystswillhelpclients.minutespriortoofmeetingCarlyletoofhisexistingCarlylewithahadregardingnewopportunitiesplansnextCarlylemeetspotentialdiscussestheresearch1.WithtoonPaladin,whichofofProfessionalConductdidviolate?CommunicationwithProspectiveSuitabilityC.DisclosureofConflicts2.purchasingPaladinstockaccounts,didcomplywithofProfessionalConduct?becauseheiswithC.becausehebasedhispurchaseonCarlyle's3.DoesmannerinthepurchaseofaccountsundermanagementviolatetheInstituteofProfessionalConduct?No.becauseshouldnotbeuntilblockisfullyC.doesnotnon-discretionary16-4444.DoesinclusionofstockinthesmallvaluemutualfundmostviolateofStandardsofwithresponsibilitiestosupervise.withC.No.5.WhatisbestactionheaboutpurchaseofPaladin?should:liquidateofportfolio.askmeetwithhimtoreviewand,ifhisinvestmentC.advisehimchiefcompliance6.Duringpotentialclients,whomostaviolationoftheInstituteofProfessionalConduct?CarlyleNeitherCarlylenorC.Robinson17-444Case5:Brian（考點：Codeand）has(Northside)assistantcomplianceNorthsidemanagesindividualavarietyoffunds,wellindividualhighwithlongischiefcomplianceofficerandSanghasbeenfirmtheoriginalCodeofEthicsComplianceManual.SangprovidesaofbothdocumentsaskstoreviewHeinstructshighlightheshouldberevisedorenhanced.liststheitemsthatneedtobeTheonhisofwhistle-blowingguidancecouldherselfinapositionofneedingtotheThesecondtohisconcernsoftheComplianceManualhebelievesitneedstobeaugmentedsupervisorshaveaclearoftheirresponsibilities.HeadvisesComplianceManual,Supervisorsshoulddofollowing:Recommendation1:ConductinitialofreviewnecessaryandRecommendation2:Recommendation3:aconductpartoftheperformanceReviewofalltheidentifyPatrickheneedsabetterofHemeetsStacithechiefFollowingmeetingsuggeststhefollowingenhancementstoComplianceManualtoresearch:Proposal1:Developassessingcontribution,includingtimingoftheirAppointasupervisortocommunicationDevelopdetailed,guidancediligenceprocedures.Proposal2:Proposal3:PatrickCantontoprovideacopyofaresearchbeenbutedtotheisacopyofthe(PT)report,writtenAmandaBurt,PTismanufactureofaluminumsuppliedtosoftdrinkmentionsthathasgoneaandaturnaroundsituation,potentialquiteThepurchasedallareviewingmeetswith18-444Burttodiscusshertoresearchingcompanies,meetingwithmanagement,andexplainstohowshedocumentshermeetingswithmanagementnoteswithhim.HemeetingnoteswithrecentandnoticesshehasguidanceandmarginsalongwithherownWhiletalkingBurt,ifeveradepartmentmakesnewbusinesshimthatbecauseofselectionrecord,sheisofthatmethodologyadeter-mineaTheydiscusspotentialclients,shethatsheatotheassetsofaunderherThebusinessdevelopmentmanagerunhappythathadasellonpotentialpitchtookplace.reviewofCComplianceThefinalfirmtrading.Henoticescurrentandlacking.firmcurrentlyrestrictsemployeeparticipationinIPOs,hasaperiodsecuritiesontheirbuylist,ensurespolicieskeptconfidential.SangtellsofdifficultyheexperiencedintryingmoreTheboardhasbeeninplacelimitinvesttheirfunds.1.UnderEmployers,withregardtosubjectofthelist,whoseisofThecapitalC.clients’2.WhichofmostcomplyIV(C):ResponsibilitiesofRecommendation1Recommendation2C.Recommendation33.ofprocesstoaddress,shouldmostproposalsProposal1=Compensation,Proposal2=ReasonableBasis,Proposal3=19-444Proposal1=ReasonableProposal2=Distribution,Proposal3=C.Proposal1=Compensation,Proposal2=Distribution,Proposal3=4.WhichofInstituteofProfessionalConducthasmostbeenviolatedpurchaseofPTMatias?SuitabilityDealingC.Misrepresentation5.HasBurtmosttheInstituteofProfessionalnewbusinesstoDutiestoClients.C.toDisclosureofConflicts.6.WhichofcurrentpersonalpoliciesInstituterecommendedPriorityofIPOPolicyC.Blackoutwindow20-444Case6:Ruth（考點：and）RuthMcDougal,isavicepresidentofFinance,whichhealthcaremedicaldeviceindustryresearchvaluationservices.McDougalhasbeenahealthcarefifteenyears,closelyemerginglastyears.OneofcompaniesMcDougalRandolphEnterprises,hasatreatmentadisorderThebeeninclinicaltrialslastTheofRandolphthatnewwhichusesadrug,willsuccessful.ThiscausedpriceofaMcDougalconductsherownindependentofRandolphsentiment,resultinginastrongontheMcDougalseminarbytheonaguestofRandolphEnterprises.McDougalnotedthattheofapublicamajorcompetitorofRandolph,inWhileMcDougalwithitnotofsheTheseminarprovidedinsightbiotechnologyindustryandonthenewresearchco-sponsoringInstituteonMcDougaltoofthatwhenheofafirm,heFinanceadvisorsomemergeracquisitionnotedthatheaggressivelyseekingacquisitions,somethingthathadnotbeenreportedinthepress.Furthermore,madethefollowingstatementtoMcDougal:Statement1:wouldMcDougalamadeaseminargathering,McDougalsomeexpertsanothermentionthatoftheclinicaltrialEnterprises,notpublic,disappointing.knewifbecamepublic,Enterprises’stockpricewouldfall,andRandolphEnterpriseswouldthenbecomeapotentialacquisitiontargetforWhenMcDougalreturnstotheoffice,shecompletesaresearchreportonRandolphEnterprisesthatsummarizedtheinformationshegatheredattheSherecommendsthatinvestorssellRandolphEnterprisessharesandsupportsherconclusionwithheropinionthattoomuchvaluehasbeenattributedtotheoutcomeoftheclinicaltrialforthenewproprietarydrug.Shedoesnotattributeherconclusiontoanysource,butingeneralrepresentsthatitistheresultofherownfundamentalanalysis.領(lǐng)取最新資料微信：xuebajun8888sMcDougalissuesarecommendation21-444andcommentsinherthatprominenceincouldasuccessfulconsolidatoracquisitions.theRandolphEnterprisesreviewreleasesthereport.UponRandolphEnterprisestwocanceltheirbuyRandolphEnterprisesbehalfofFinanceclients.RandolphEnterprisesisreleasedtoclients.ThefollowingitispubliclythatRandolphEnterprises’clinicaltrialisnotmeetingupinTheofTurkell-callsMcDougalheronherifcouldFinanceaspecialassignmenttodoain-depthonEnterprises.heistryingtoassessthepotentialmightRandolphEnterprises.withMcDougal,shewillcompletetheinthenextFinancestipulatesthatifRandolphbasedanalysis,awillbepaidMcDougal.McDougalisaboutthatcouldtoherFinancemightonMcDougaldecidestosilentwithMcDougalactionsshedoesnotwanthercolleaguestodoubtherindependenceand1.DidMcDougalchangedherRandolphEnterprisesaasellbasedconversationsheardseminar?sincenothaveareasonablebasisherrecommendation.becausedidsomeoftheC.No.2.complywithInstituteStandards,toall-expensesseminaraguestofRandolphEnterprises,McDougalshoulddeclinedandacceptedandC.of3.complywithInstituteStandards,responsibilityinStatement1isto:receivetheassignment.22-444turntheassignmentherconflictofC.reviewherpermissionacceptingthe4.TheRandolphEnterprisesbasedonofmostwhichStandards?Dealing.DealingPriorityofC.Dealing,PriorityofandDiligenceReasonableBasis.5.ThepurposeofStandardVI(C)Feesistohelpclient:ofcomplianceassessofcausetheofcomplianceC.assessofcausethefulloftheservices.6.AmemberoftheInstitutebeseriousviolationofCodeandsanctionedbyInstitutecanbepenalizedby:amonetaryamonetarycensure.C.privatecensuresuspension.23-444Case7:JRand（考點：）Jacobs,andAssociates(JRA)isaglobalfirmthatprimarilyprovideshigh-net-worthindividualsandtheirmanagementsolutionssuchplanning,planning,management,fiduciaryservices.BenjaminJacobs,foundedJRA10ago.Priortoestablishingfirm,alawyeraprestigiouslawfirminandplanning.aCertifiedPublicEarnest&Olds(E&O),amultinationalprofessionalservicesfirmthattax,consulting,servicestoindividuals.joinedthefirmthirdseniorpartnertwoafterhadFrontlineGroup,aJRAmostofitsclientsarrangementsinplacebyseniorJacobshasafee-sharingwithcolleaguesBrightman(BP)whenclientstoJRA.TheannualinishighertheofitsclientsbecauseadiscounttoclientswhoThisdiscountthetoservicestheirclients.InJRAaoftheannualadvisorywithThedisclosefee-sharingwithclientsthatJRA.JRAdisclosesofJRAmanagementindividualsthebecomeclients.hasaarrangementinplaceGroup.unitallofitssmallinstitutionalsharingplans,andendowments)lookingmanagementtoallofcontinuestobeBecauseFrontlinecontinuestoprovide“bestpricebestthesebelievesnoadditionaldisclosuresnecessarybecauseisSincestartingJRA,andRiccioaclosewithindependentconsultantmetanetworkingevent.CarrollispensionsolicitproposalswhoaportionofthepensionOverCarrollbeenbyofhispensionfundclientsfirmbecauseofoutstandingperformancesuperiorclientservice.thankCarrollallofhisbehalfofwhetherpensionfundJRA),eachsizableannualdonationstoanonCarrolltobenefitorphans.madenotdisclosedtopensionwhobecomeJRAclients.24-444JRAMufidOthan,adviserandcharterholderwhopreviouslySackInternational.AbeginningworkJRA,Ode,awhopassedLevelIIIofhearingaboutherwithIII,thefollowinginacandidatechatroom:Comment1Comment2“IbelieveIpassedthethequestionssuperIMinimumScore(MPS)deriIstilldon’tknowwhattwo-part–Comment3“ThemusthavebeenquitelenienttotheconstructedOdenowhasahalfofexperienceintheNevertheless,Othanhasahabitofherthe“newesthasnothingtocorrecthim.1.DoesviolateCodeStandardsofferinghisalowerbrochure?No.becauseJRAisfees.C.becauseJRAisnotdealingits2.DoesviolateCodeindisclosureofarrangementstoclients?becausedisclosetotheirclientsdiscountJRAoffers.C.becausediscountdisclosedtoindividualsthetimethemanagement3.HastheInstituteCodeinherarrangementwithFrontlinebecauseFrontlineGroupcontinuestoprovide“best.C.becausenothinghaschanged—allstillbyFrontline.4.DidandRiccioCodeandbymakingdonationstoCharity?25-444No.becausetheseaconflictofC.becausetheseadditionalcompensationtoCarroll.5.WhichoftheInstituteCodeandStandards?Comment1Comment2C.Comment36.DidviolatetheInstituteCodedescriptionofOde?becauseOdewillbeacharterholderinanothermonths.C.becauseOdehassuccessfullyallofProgram.26-444Case8:Jane（考點：and）JanePierce,havingdegreeacceptedajobtoalargefirmamanagetrainingallthesupervisedadesignatedindividualdepartment.Piercewiththeshewouldthewithin90beherwithinyears.Hertwoofworkorientation,atoandprocedures,includingthecodeofconduct.Duringorientation,chiefcomplianceofficernotedfirmclaimscompliancewiththeInstituteCodeofEthicsandStandardsofProfessionalConduct.ShortlyafterPierceishired,isofcommittingaseriousethicalviolation.subsequentlyclearedofPiercehasbeenassignedtoworkaseniorwhoindustriesinthetechnologyOneofcompany-sponsoredmeetingsPiercewithatop-of-the-linesmartphoneTheseniorherbothcharterholders,conclusionofemeeting,theofthemeetinganew-generationsmartphonewithasuggestedvalueof$900.Piercetoknowdutiesinherjob.Duringhermonth,seniortoworkwithherdistributeemailtoasubsetofassetmanagementwithTheemailoutlinedearningsmodelaunderhisassumptions,importantsurroundinghisanalysis,HeachangeearningsPiercebyrequest;inthepast,shehademailedonbehalfofotheranalysts,butthosehadcomeherwhichwithfirmsupervisoraboutpotentialviolationsthathaveifPiercehadsentchiefcompliancetothecomplianceofficerdevelopedfollowingrecommendationstohelptranspiring:Recommendation1:Thewilllimitnumberofemployeeswhoofthependingofrecommendationsorearningsoutlooks.Recommendation2:aviolationplacewrongdoerpendingofRecommendation3:Thetomaintaintosuppor