Q3. Litman’s past and future policy concerning the monitoring and control of the exchange of gifts has: A) at least two problems: she apparently was not informed in writing and she has not prohibited cash gifts. B) only one problem: she apparently was not informed in writing. C) only one problem: she apparently has not prohibited cash gifts.
Q4. Litman’s instructions to Book concerning creating an anti-money-laundering policy to detect and help prevent Cooper and Grey from being used for that purpose and other illegal activities is: A) appropriate and correct. B) not entirely correct in that Cooper and Grey may give necessary information to legal authorities in the event of an investigation. C) not appropriate, nor is the issue a part of the CFAI Asset Manager Code of Professional Conduct.
[此贴子已经被作者于2009-1-7 9:56:30编辑过] | 
发表于 2009-1-7 09:56
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