Reading 2-VI: Standards of Professional Conduct & Guid investment, respect, private, practice, class

mayanfang1

Q11. With respect to the prospects she invites to the “quarterly investment forum” and then solicits for her private practice, Hernandez is:

A)   not in violation of any Code or Standard.

B)   in violation Standard VI(A) concerning disclosure of conflicts.

C)   in violation of Standard I(D) concerning professional misconduct.

Q12. With respect to the proposal for the IPO mandate of ChemMex, Hernandez:

A)   may meet with ChemMex officials and be involved with the IPO, as long as she discloses the material facts of the situation to TFA.

B)   is not allowed to meet with ChemMex officials.

C)   may meet with ChemMex officials, but cannot be otherwise involved with the IPO.

Q13. With respect to the recommendation that Hernandez writes for CoppOre, Hernandez may:

A)   proceed with the recommendation as long as she does not exaggerate facts and mention the tender offer, but does not have to make an effort to achieve public dissemination of the tender offer.

B)   proceed with the recommendation as long as she does not exaggerate facts and mention the tender offer, but must make an effort to achieve public dissemination of the tender offer.

C)   not proceed with the recommendation with either the exaggerated information or the information of the tender offer.

rawrdinosaur

ty

maxsimax

tq

祈愿修神

C

lenny_chen

x

思霖

Thx!

zinger

 ?

lupinelp

zxasdg

leeyaoxee

Thanks.

1212jo

好