2008 CFA Level 1 － Sample 样题(2)－Q1 style, black, 2008, class

bingning

1、Ross Nelson, CFA, manages accounts for high net worth clients including his own family's account. He has no beneficial ownership in his family's account. Because Nelson is concerned about the appearance of improper behavior in managing his family's account, when his firm purchases a block of securities, Nelson allocates to his family's account only those shares that remain after allocation to his other client accounts. The fee for managing his family's account is based on his firm's normal fee structure. According to the Standards of Practice Handbook, Nelson's best course of action with regard to management of his family's account would be to:

A. continue to manage his family's account but treat it like his other client accounts.

B. discontinue management of his family's account and arrange for the account to be transferred to another firm.

C. discontinue management of his family's account and arrange for the account to be transferred to another investment manager in his firm.

D. continue to manage his family's account and continue his current allocation procedures to avoid the appearance of improper behavior.

[此贴子已经被作者于2008-11-7 14:03:04编辑过]

xxjj564

 a

beddoe

thank

joy_ying

up

dongdxh2008

谢谢

ken_wangyang

thanks

dadalee1102

thx

舍我其谁

a

galenc

c

martin_dhs

let me check it out