Q5. Litman’s plan for making Book the compliance officer at Cooper and Grey is: A) not appropriate because Book is not a member of CFAI. B) not appropriate because Book is new to the firm. C) not appropriate because in that position, Book should be the one reporting to the CEO and the board of directors.
Q6. In drafting procedures for monitoring performance and evaluating managers, the: A) suggestions by both Litman and Book are not generally accepted nor recommended by the CFAI Asset Manager Code of Professional Conduct. B) suggestion by Litman is generally accepted but that of Book is a violation of the CFAI Asset Manager Code of Professional Conduct. C) suggestions by both Litman and Book are generally accepted and recommended to comply with the CFAI Asset Manager Code of Professional Conduct.
Q7. In response to Book’s suggestions concerning the hiring of a third party to review information disseminated to clients and for the plan for dealing with a natural disaster, according to the CFAI Asset Manager Code of Professional Conduct, Litman should: A) adopt them both. B) ignore them both. C) adopt the plan for dealing with a natural disaster only.
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发表于 2009-1-7 09:58
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