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1、SchweserSchweserSchweserSchweserPrintablePrintablePrintablePrintableTestsTestsTestsTestsLevelLevelLevelLevel1111EXAMEXAMEXAMEXAM1111MningMningMningMning180180180180minutesminutesminutesminutesLevelLevelLevelLevel1111EXAM

2、EXAMEXAMEXAM1111MningMningMningMningYoucanprintthispagebygoingtofileprintinyourinterbrowser.EthicsEthicsEthicsEthics18181818QuestionsQuestionsQuestionsQuestions27272727minutesminutesminutesminutesQuestion:123379BasedonAI

3、MRsStardsofProfessionalConductwhichofthefollowingstatementsareaviolationofStardIV(B.6)ProhibitionagainstMisrepresentationA)Ayoungtraineebondtradertellsaprospectiveclientthatshecanassisttheclientinalltheclientsinvestmentn

4、eeds:equityfixedincomederivativesbasedonheryearsofexperienceasananalystinthebusinessthataninvestmentlookslikeithaslotsofpotential.B)Allofthese.C)AninvestmentmanagerrecommendstoaprospectiveclientaninvestmentinmtgageIOstri

5、psbecausetheyareguaranteedbyanagencyofthefederalgovernment.D)AbrokersaysXYZstockis100%guaranteedtodoubleinvalueoverthenextsixmonths.Question:228161AccdingtoAIMRsStardsofProfessionalConductStardI(B)FundamentalResponsibili

6、tiesmembersshallnotknowinglyparticipateassistinlegalethicalviolations.Ananalyst:A)mustreptalllegalviolationstotheproperregulatycommissionisheldresponsiblefparticipatinginillegalactswhenthelawisevidenttoanyoneknowingthela

7、w.B)isheldresponsiblefviolationsbyotherswhentheanalystisunawareofthefactsgivingrisetotheviolation.C)isheldresponsiblefparticipatinginillegalactswhenthelawisevidenttoanyoneknowingthelawcanparticipateinaviolationbyhavingkn

8、owledgeoftheviolationtakingnoactiontostopitdisassociatefromit.D)isheldresponsiblefparticipatinginillegalactswhenthelawisevidenttoanyoneknowingthelawisheldresponsiblefviolationsbyotherswhentheanalystisunawareofthefactsgiv

9、ingrisetotheviolation.Question:328162WhichofthefollowingisaviolationbasedonAIMRsStardsofProfessionalConductA)AptfoliomanageracceptsfreetradesfromXYZfherpersonalaccountfdirectingtheptfoliostradestoXYZ.Shedoesnotinfmherman

10、agersincediscretionaryauthitywiththemanagementofthepensionplanitsassets.B)hasanexecutivepositioninthefirmsponsingthepensionplan.C)hasanexecutivepositioninthefirmsponsingthepensionplanhasdiscretionaryauthityintheadministr

11、ationofthepensionplan.D)exercisesanydiscretionaryauthitywiththemanagementofthepensionplanitsassets.Question:729219TherearefourcomponentsoftheAIMRCodeofEthics.AllofthefollowingarepartoftheCodeofEthicsEXCEPTEXCEPTEXCEPTEXC

12、EPT:A)Practiceencourageotherstopracticeinaprofessionalethicalmannerthatwillreflectcreditonmemberstheirprofession.B)StrivetomaintainimprovethecompetenceofregulatybodiessuchastheSecuritiesExchangeCommission(SEC).C)Striveto

13、maintainimprovethecompetenceofothersintheprofession.D)Usereasonablecareexerciseindependentprofessionaljudgment.Question:829220AIMRbelieves:A)thatamaximumlevelofprofessionalresponsibilityconductdictatesthatmembersbeawareo

14、fcomplywithlawsrulesregulationsgoverningtheirconduct.B)companiesshouldsetstardsbasedontheethicsofuppermanagementtheboardofdirects.C)thatfirmsshouldcomplywithalldomesticlawsregulationsthattheselawsalsogovernbehaviinfeignm

15、arketsregardlessoffeignlawsrequirements.D)thataminimumlevelofprofessionalresponsibilityconductdictatesthatmembersbeawareofcomplywithlawsrulesregulationsgoverningtheirconduct.Question:929221Whichofthefollowingstatementsab

16、outtheAIMRCodeStardsisTRUETRUETRUETRUETheCodeStards:A)requirethatmembersreptlegalviolationstotheappropriategovernmentalregulatyganization.B)donotrequirethatmembersreptlegalviolationstotheappropriategovernmentalregulatyga

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