Q24.What is the required frequency for updating information on each client’s financial situation, investment experiences, and investment objectives? A) Only during the first meeting with the client. B) Regularly. C) Every year.
Q25.If an analyst has a policy of making an inquiry into a client’s financial situation, investment experience, and investment objectives regularly, this is: A) neither of these. B) a violation of Standard III(E), concerning client confidentiality. C) congruent with Standard III(C), Suitability.
Q26.An analyst thinks that a major change in the tax law will benefit holders of utility company stocks. She immediately begins calling all her clients and telling them of the upside potential of investing in such assets now. Based upon this information, this is most likely: A) a violation of Standard III(C), Suitability. B) a violation of Standard V(A), Diligence and Reasonable Basis. C) congruent with Standard V(A), Diligence and Reasonable Basis.
[此贴子已经被作者于2009-1-4 10:11:12编辑过] | 
发表于 2009-1-4 10:07
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