Q19. With respect to the complaint Mills filed against Jackson, and the subsequent investigation of Mills by CFA Institute, which of the following statements is least accurate? A) Jackson violated the Code and Standards by putting New Medical Developments on its restricted stock list. B) Jackson violated the Code and Standards by not responding to Mills. C) Jackson did not violate the Code and Standards if he provides Mills’ trading information to CFA Institute.
Q20. Which of the following is NOT considered plagiarism under CFA Institute Standards? A) Improving an existing report and using it inside the company under a new title without acknowledging the source of the original report. B) Adjusting an already published model and announcing it as a new model without acknowledging the source of the original model. C) Using factual information from a recognized financial information agency without acknowledging the source of the information.
Q21. Noah Johnson, CFA, is a broker with a money management company, Factor, Inc. In a conversation with Tom Williams, Johnson describes the activities of Factor and discusses the characteristics of portfolio construction. Which of the following statements would NOT, on its face, be considered a misrepresentation? A) Factor guarantees the portfolio will achieve its goal return. B) The portfolio securities were carefully selected by Factor to minimize Williams' risk. C) If Williams is not satisfied with the current target return, Johnson can always improve it by increasing his T-bills share.
Q22. Pamela Gee is a portfolio manager. She is planning to establish her own money management firm. She has already informed her employer, Branford, Inc., about her plans. In her remaining time at Branford, she can: A) solicit Branford colleagues but not Branford clients. B) start the registration of her new company. C) inform her current clients about her resignation and let them know how to reach her, in case any problems arise in the future.
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发表于 2009-1-7 09:04
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