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1、Yip Wal Yin, a CFA Candidate, Is an independent mutual fund sales agent. For every front end load product she promotes, Yip receives a portion of the front-end fee a$ commission, at the time of sale. For every back end load fund she sells, Yip receives a smaller commission paid at the end of the year. Yip always Informs her clients she is paid a commission as an agent, but does not provide details of the compensation structure.

When pitching her favored front end load product line she tells clients 20% of her commission Is always invested in the same fund as proof of her confidence in the fund she recommends. Which CFA Code of Standards with regard to Conflicts of Interest does Yip least likely violate?

A.Referral Fees.

B.Disclosure of Conflicts.

C.Priority of Transactions.

正确答案:C

答案解析:"Guidance for Standards I-VII7 CFA Institute C is correct because Yiprs investments do not adversely affect the interest of the clients and therefore do not violate the Priority of Transactions requirement. A Candidate having the same Investment positions does not always create a conflict of interest and In some Instances, having an aligned Investment portfolio can be beneficial to the client.


2. The Global Investment Performance Standards least likely require:

A.nondlscretlonary portfolios to be Included In composites.

B.composites to be defined according to similar investment objectives and/or strategies.

C.non-fee-paylng portfolios to be excluded In the returns of appropriate composites.

正确答案:A

答案解析:Composites (Standard IV - Composites) must be defined according to similar investment objectives and/or strategies. Terminated portfolios must be included in the historical returns of appropriate composites, and only fee-paying portfolios are to be included in composites. Non-discrectionary portfolios must not be included in a firm's composites. 2014 CFA Level I "Introduction to the Global Investment Performance Standards (GIPSf CFA Institute

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