Reading 2-III: Standards of Professional Conduct & Guidance: Duties to Clients and Prospective Clients LOS A.: Loyalty, Prudence, and Care 1、While trading on behalf of a pension account, an analyst receives special research reports from the brokerage firm with whom she is doing the trades. Such an activity is: A) a violation of both Standard III(A), Loyalty, Prudence, and Care, and the Code of Ethics. B) a violation of only The Code of Ethics. C) a violation of only Standard III(A), Loyalty, Prudence, and Care. D) not in itself a violation of Standard III(A), Loyalty, Prudence, and Care, nor the Code of Ethics. The correct answer was
D) An analyst can receive research from a brokerage firm with whom she is trading on behalf of a client. The analyst should inform the client of the arrangement. The client is more likely to violate Standard III(A) by obtaining non-research services or, worse yet, personal benefits from the brokerage firm. 本Reading全部习题请下载以下文件：
 reading 2-iii 习题.rar (144.19 KB)
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发表于 2008-1-10 12:00
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