Q6. With regard to the Yeats account, Jung broke the Code: A) only when she sent the trading records to the IRS. B) when she failed to purchase Blanton shares for Yeats in the morning, but not when she recommended Blanton shares for purchase. C) when she recommended Blanton shares for purchase, and when she failed to purchase Blanton shares for Yeats in the morning.
Q7. Which of the four rules Kratz wrote down is most likely in violation of the Code? A) Most stock research is done in-house. About 30 percent of Westmoreland Financial clients do not own bonds, but substantially all of client brokerage pays for bond research. B) Portfolio managers may accept any gift valued at less than $50 provided that they notify their supervisors in writing, but must receive written consent from the compliance officer in advance before accepting anything more expensive. C) IPO’s are distributed to about 60 percent of client accounts in proportion to account size, but the remaining 40 percent do not receive any allocation.
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发表于 2009-1-7 09:49
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