单项选择题

Sarah, CFA, is promoting her new investment management firm by issuing an advertisement. Which of these items is least likely a violation of the professional designation Standard The advertisement states that:

A. she passed three exams covering ethics, financial statement analysis, asset valuation, and portfolio management and that she is a member of the local society. Sarah signs the advertisement followed by the letters CFA in oversized and bold strike letters.
B. she passed three 6-hour exams on her first attempts over the minimum period of one and a half years. Knowledge tested include ethics, financial statement analysis, asset valuation, and portfolio management. In addition, she is a member of the local society.
C. because of her extensive CFA training she will be able to achieve better investments results than non-CFA managers since she is one of very few professionals to have been awarded this designation.

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单项选择题Jesse, CFA, is an exam proctor for the Level Ⅰ CFA exam. The day before the exam is to be administered, Jesse faxes a copy of one of the questions to two friends, Richard and Patrick, who are Level Ⅰ candidates in the CFA program. Jesse, Richard, and Patrick has planned the distribution of an exam question months in advance. Richard used the fax to prepare for the exam. Patrick, however, had second thoughts and threw the fax away without looking at its contents. Which of the following statements is most likely correct

A. Richard violated the Code and Standards but Patrick did not.
B. Jesse violated the Code and Standards but Richard did not.
C. Richard and Patrick both violated the Code and Standards.

单项选择题Which of the following statement is inconsistent with Standard Ⅵ (C) Disclosure of Referral Fees

A. Disclosure will help the client evaluate the full cost of the services.
B. Disclosure will help the client evaluate any possible partiality shown in the recommendation of services.
C. Disclosure means advising a prospective client about the referral arrangement once a formal client relationship has been established.