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- 2011-7-11
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- 2016-11-15
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few answers on ethics self test, por favor
Which of the following statements is a recommendation of the Standards of Practice Handbook with regard to personal investing?
a. Disclosure of all holdings in which the employee has a beneficial interest.
b. Pre-clearance of all trades.
c. All of the above.
d. Restrictions on participation in an IPO of equity or equity-related securities.
0 out of 1
Chang is an investment advisor who operates as a sole proprietor and has five clients. If Chang obtains employment with a brokerage firm, he:
a.Must get consent from his new employer to keep his clients but does not have to advise his clients of his employment with the brokerage firm.
b. Must get written consent from his new employer to keep his clients and must advise his old clients in writing of his employment with the brokerage firm.
c. Must advise his clients of his employment with the brokerage firm but does not have to get consent from his new employer to keep his clients.
d. Does not have to advise his clients of his new employment with the brokerage firm or get consent from his new employer to keep his clients.
Question 28 of 49
Reese is portfolio manager for several clients. She uses the work of the highly skilled research analysts in her firm to support her investment decisions. Reese:
a. Violated the Code and Standards because she did not independently verify the research herself.
b. Violated the Code and Standards because she was unfamiliar with the processes and procedures used by the analysts in coming to their conclusions.
c. Violated the Code and Standards because she did not exercise diligence in making her investment decisions.
d. Complied with the Code and Standards
Which of the following is LEAST LIKELY to be an example of misrepresentation:
a. Claiming to have earned an academic degree or professional designation that has not yet been awarded.
b. Guaranteeing a specific rate of return on the equity securities of a public company.
c. Plagiarizing the work of another analyst in writing a research report.
d. Omitting relevant facts from a research report. |
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发表于 2011-7-11 18:43
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