标题: More fun with Schweser Ethics.. [打印本页] 作者: OmarAdnan 时间: 2013-4-2 14:56 标题: More fun with Schweser Ethics..
Which of the following procedures relates specifically to maintaining the confidentiality of information under the Loyalty part of the Code?
A) Maintaining records for an appropriate amount of time.
B) Using reasonable care and prudent judgment when managing client accounts.
C) Creating and implementing an anti-money laundering policy.作者: Darien 时间: 2013-4-2 14:59
Herd mentality. B.作者: Fdez 时间: 2013-4-2 14:59
you know what ..this is not even worth wasting you guys’ precious time on…
another BS schweser question with a BS answer…so here goes…
Your answer: B was incorrect. The correct answer was C) Creating and implementing an anti-money laundering policy.
Where appropriate, firms should implement an anti-money laundering policy which falls under the Loyalty to Clients section specifically related to preserving the confidentiality of client information. Developing a business continuity plan and maintaining records falls under the Compliance and Support section of the Code. Using reasonable care and prudence falls under the section of the Code dealing with Investment Process and Actions.
just thought I’d give you guys a laugh…i’m off to bed …adiosss作者: skycfa 时间: 2013-4-2 15:00
I guesss…..but the question didn’t give any details…作者: Wendy01 时间: 2013-4-2 15:01
There is no mention of Anti Money laundering anywhere but AMC…..I think.
