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标题: 2008 CFA Level 1 － Sample 样题(3)－Q10 [打印本页]

作者: 3975 时间: 2008-11-5 16:02 标题: 2008 CFA Level 1 － Sample 样题(3)－Q10

10、Alexander Newton, CFA, is the chief compliance officer for Mills Investment Limited. Newton institutes a new policy requiring the pro rata distribution of new security issues to all established discretionary accounts for which the new issues are appropriate. The policy provides for the distribution of new issues to newly established discretionary accounts after the one-month anniversary date. This policy is disclosed to all existing and potential clients. Did Newton violate any CFA Institute Standards of Professional Conduct?

A. No.

B. Yes, because the distribution policy fails to treat all discretionary accounts equally.

C. Yes, because disclosure of inequitable allocation methods does not fulfill the duty for fair and equitable trade allocation procedures.

D. Yes, because the discretionary accounts for which the new issues are not appropriate should still be offered the chance to participate in the offerings.

作者: xinli80 时间: 2008-11-12 08:29

3x

作者: stanza 时间: 2008-11-13 22:39

作者: elea0930 时间: 2008-11-15 02:53

[em01]

作者: lxitb 时间: 2008-11-15 04:15

thx

作者: caodongxia 时间: 2008-11-17 20:25

恩

作者: wzuowei 时间: 2008-11-17 23:14

[em01]

作者: slkly 时间: 2008-11-18 10:19

[em01][em03][em05]

作者: spring66 时间: 2008-11-18 11:20 标题: r

r

作者: lupinelp 时间: 2008-11-19 08:39

eqa

作者: lupinelp 时间: 2008-11-19 08:45

3

作者: wocaohorse 时间: 2008-11-21 06:26

re

作者: tancynthia 时间: 2008-11-27 15:12

thx

作者: magiceden 时间: 2008-12-2 18:25

Thanks for sharing

作者: miyaH 时间: 2008-12-4 12:19

q

作者: jzhang21 时间: 2008-12-4 23:18

xie xie

作者: wyizhang 时间: 2008-12-5 11:25

3x

作者: xkgenius 时间: 2008-12-5 16:04

1

作者: xkgenius 时间: 2008-12-5 16:26

3x

作者: justfly 时间: 2008-12-6 08:35

谢谢

作者: kankanbaba 时间: 2009-2-1 10:22

[em01]

作者: jasperdong 时间: 2009-2-11 16:01

expected return

作者: johnheman 时间: 2009-2-21 11:55

ok

作者: eca01yj 时间: 2009-5-6 19:40

mbkhv

作者: kidd 时间: 2009-5-6 23:49

 boy

作者: percy 时间: 2009-5-7 11:00

b

作者: richard119 时间: 2009-5-7 11:14

我选B

作者: vickyma 时间: 2009-5-12 07:38

3

作者: percy 时间: 2009-5-12 10:59

3

作者: wenganyang 时间: 2009-12-5 04:15

sdf

作者: soccerboy24 时间: 2009-12-5 08:26

w

作者: CFAcanada 时间: 2010-2-7 03:05

 thx

作者: wendi214 时间: 2010-5-29 11:49

thanks

作者: nmlgsbc2010 时间: 2010-5-30 17:52

merci

作者: Teleey 时间: 2010-5-30 19:16

没看出问题啊，NO？

作者: Kittelchen 时间: 2010-5-30 19:32 标题: jj

thx

作者: xxjj564 时间: 2011-2-18 17:24

 a

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