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样本：
2009 Level II Mock Exam: Afternoon Session
ANSWERS AND REFERENCES Questions 1 through 6 relate to Ethical and Professional Standards.
SMC Case Scenario
Ian Sherman, CFA, is a portfolio manager at SMC, an investment advisory firm which offers investment products and services to individual and institutional clients. SMC has adopted the CFA Institute Research Objectivity Standards and implemented policies in compliance with the Standards. All of SMC’s investment professionals have earned CFA charters. Sherman tells prospective clients, “The CFA charter is the highest credential in the global investment management industry. As charterholders we are committed to the highest ethical standards. Completion of the program has dramatically improved the team’s portfolio management knowledge and their ability to achieve better performance results.” Sherman has earned a reputation for consistently outperforming the market. Over the long run, his mutual funds have outperformed their respective market benchmarks by a wide margin. For the past 12 months the funds have slightly underperformed the benchmarks. Some clients have noticed that Sherman’s fund performance information has not been updated on the advisor’s website in the past six months. When clients inquire about fund performance, Sherman provides them with accurate updated information.
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