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.buying an asset class in which she has no prior management experience.

B.buying assets that are inconsistent with the portfolio’s Investment Policy 

C.failing to notify the client that she would temporarily deviate from the client’s 

正确答案:B

答案解析:B is correct. Under no circumstances should a manager take investment action that is inconsistent with 

2、【单选题】

A.Disclosure of Conflicts.

B.Independence and Objectivity.

C.Additional Compensation Arrangements.

正确答案:C

答案解析:C is correct. Riser least likely violates Standard IV(B)—Additional Compensation Arrangements 

3、【单选题】

A.Yes.

B.

C.No, because the plan only provides for contacting and communicating with 

正确答案:B

答案解析:B is correct. According to the guidance provided in Section D(6) of the Asset Manager Code, the 

4、【单选题】

A.No.

B.

C.

正确答案:B

答案解析:B is correct. Investment decision-making due to speed or based on third-party research alone is 

5、Does Danko violate CFA Institute Standards when he directs trades to FTI?【单选题】

A.No.

B.

C.

正确答案:A

答案解析:A is correct. Danko directs his trading with FTI only after taking into account FTI’s ability to provide