标题: Reading 1: Code of Ethics and Standards of Professional Cond [打印本页]
作者: bmaggie 时间: 2010-3-30 16:36 标题: [2010]Session 1:-Reading 1: Code of Ethics and Standards of Professional Cond
Session 1: Ethical and Professional Standards
Reading 1: Code of Ethics and Standards of Professional Conduct
LOS b, (Part 2): State the seven Standards of Professional Conduct.
In accordance with Standard III (A) Loyalty, Prudence and Care, which of the following statements is least accurate? Members and Candidates should:
|
A) |
utilize client brokerage to the sole benefit of the client. | |
|
B) |
submit to clients, at least quarterly, itemized statements detailing all of the period’s transactions. | |
|
C) |
vote all proxies on behalf of clients in a responsible manner. | |
作者: bmaggie 时间: 2010-3-30 16:36
In accordance with Standard III (A) Loyalty, Prudence and Care, which of the following statements is least accurate? Members and Candidates should:
|
A) |
utilize client brokerage to the sole benefit of the client. | |
|
B) |
submit to clients, at least quarterly, itemized statements detailing all of the period’s transactions. | |
|
C) |
vote all proxies on behalf of clients in a responsible manner. | |
Because of the time and expense involved in voting a proxy, Members and Candidates are not required to vote every proxy. A cost benefit analysis can be performed to determine if it is necessary to vote a proxy.
作者: tracylaubb 时间: 2011-4-11 21:50
thx
作者: cheifmic 时间: 2011-4-25 13:19
thx
作者: cheifmic 时间: 2011-4-25 13:19
thx
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