7、Hui Chen, CFA, develops marketing materials for an investment fund he founded three years ago. The materials show the 3-, 2- and 1-year returns for the fund. He includes a footnote that states in small print. "Past performance does not guarantee future returns." He also includes a separate sheet showing the most recent semi-annual and quarterly returns, which have been neither audited nor verified. According to the Standards of Practice Handbook, has Chen violated any Standards of Practice? A. No. B. Yes, because he included un-audited and unverified results. C. Yes, because he did not adhere to the global investment performance standards. D. Yes, because he should not have used a footnote to disclose important information.
| 
发表于 2008-5-17 18:14
| 
