Q11. An analyst belongs to a nationally recognized charitable organization, which requires dues for membership. The analyst has worked out a deal that he provides money management advice in lieu of paying dues. For this arrangement to comply with the standards, the analyst needs consent from: A) both his supervisor in the organization and his regular place of work. B) his supervisor in the organization only. C) his supervisor in his regular place of work only.
Q12. Jill Marsh, CFA, works for Advisors where she manages various portfolios. Marsh’s godfather is an accountant and has done Marsh’s tax returns every year as a birthday gift. Marsh’s godfather has recently become a client of Advisors and asked specifically for Marsh to manage his account. In order to comply Standard IV(B), Disclosure of Additional Compensation Arrangements, she needs to: A) have her godfather cease doing her taxes. B) liquidate from her personal portfolio any stocks her godfather owns and verbally tell her supervisor about the tax services. C) do neither of the actions listed here.
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发表于 2009-1-9 16:35
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