Q8. Establishing information barriers between departments would fall under which section of the Code? A) Investment Process and Actions. B) Trading. C) Compliance and Support.
Q9. 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) Creating and implementing an anti-money laundering policy. C) Using reasonable care and prudent judgment when managing client accounts.
| 
发表于 2009-1-7 10:01
| 
