2020年CFA考试《CFA三级》考试共题，分为。小编为您整理Ethical and Professional Standards (2)5道练习题，附答案解析，供您备考练习。

1、【单选题】

A.No, the procedures regarding record retention are inconsistent.

B.No, the procedures regarding portfolio review are inconsistent.

C.No, the procedures regarding investigation of complaints are inconsistent.

正确答案:C

答案解析:C is correct. According to the recommendations of Section D(2) of the Asset Manager Code, 

2、【单选题】

A.Procedure 1.

B.Procedure 2.

C.Procedure 3.

正确答案:A

答案解析:A is correct. A blackout period is appropriate for investment decision-making personnel so that 

3、Based on his complete evaluation, what is Locke’s best course of action with 【单选题】

A.Reduce NGM’s allocation of the Fund’s assets until NGM has demonstrated 

B.

C.Maintain NGM’s allocation of the Fund’s assets and concentrate on evaluating 

正确答案:B

答案解析:B is correct. Locke has a duty to the pension plan beneficiaries to act in their best interests. He would 

4、When recommending Komm, does Riser violate any CFA Institute Standards?【单选题】

A.No.

B.Yes, relating to duties to employer.

C.Yes, relating to disclosure of conflicts.

正确答案:A

答案解析:A is correct. No violation occurred. Riser’s recommendation is based on his knowledge of Komm and 

5、【单选题】

A.misconduct.

B.misrepresentation.

C.performance presentation.

正确答案:C

答案解析:C is correct. As Khadri provides the corrected information in her letter to the client, she is least likely