2008年CFA2级材料，包含3套Sample和2套Mock以及答案

举例：Theresa Lecompte Case Scenario
Theresa Lecompte, CFA, is an equity analyst for Topaz Group, a large financial firm that offers investment banking,brokerage, and investment management services. Topaz has adopted the CFA Institute Research Objectivity Standards to demonstrate their commitment to managing and fully disclosing conflicts of interest to all investors that have access to the firm's research.Lecompte's primary responsibility is to follow the information technology sector for the firm's research department.She is working on two follow-up reports for NanoMem (NM) and UniFlash (UF). Topaz makes markets in both companies' securities and Lecompte owns a small position in NM only.Lecompte has an excellent relationship with company officials at NanoMem. In appreciation for Lecompte's favorable recommendations in the past, she was invited to attend a company-sponsored event last December that was held at an exclusive ski resort overseas. NanoMem paid all expenses relating to the trip and provided some excellent entertainment activities for the attendees. Lecompte disclosed this benefit to her supervisor at Topaz. Shortly thereafter, Topaz issued a secondary offering for NM. Lecompte believes that her excellent relationship with the firm played a large part in securing this business.Lecompte considers her relationship with UniFlash, however, to be contentious, as company officials seem reluctant to share as much information with her as they have in the past. She believes the change in their behavior is a direct result of recent reports she has written on the company, which have been less than favorable. Prior to publication ofher follow-up reports, Lecompte shares her report on NM in its entirety with top management at NanoMem. She shares only the part of her report on UF that provides factual information with UniFlash management. Lecompte's compensation at Topaz includes an annual salary plus a bonus based on both the accuracy of her recommendations over time and the overall profitability of the company. Topaz makes public disclosure of the extent to which research analyst compensation in general is dependent upon the firm's investment banking revenues.Following the release of her reports in early March, Lecompte is invited to appear on a television program to discuss her recommendations. During her appearance, she makes the following statements:
1. "My firm makes markets in the securities of both NanoMem and UniFlash and I currently own a position in NanoMem."
2. "Although I just issued a report on UniFlash that reflected a neutral rating, I really believe a sell rating is more appropriate."
When she returns to her office the following day, Lecompte is informed by her supervisor that a company official at UniFlash called to express his disappointment and anger in hearing the negative remarks she had made about UF during her television appearance. Lecompte states that she believes her deteriorating relationship with UniFlash will make it difficult to effectively cover the company in the future and recommends that Topaz discontinue coverage of UF immediately.