Q2. Should Claudel decide to terminate his relationship with Vector, which of the following items can he NOT take with him? A) A marketing presentation he developed for Vector, but uses primarily in his side business. B) A list of consulting clients, with addresses and phone numbers. C) His Rolodex full of contacts in the brokerage and money-management business.
Q3. Claudel's statement about his education background is: A) truthful, but not in accord with the Code and Standards. B) truthful, and in accord with the Code and Standards. C) not truthful, and not in accord with the Code and Standards.
Q4. Which of the following statements is TRUE? A) Bonnet has violated Standard III(B): Fair Dealing, and Claudel has violated Standard I(B): Independence and Objectivity. B) Bonnet has violated Standard IV(A): Loyalty to Employer, and Claudel has violated Standard I(A): Knowledge of the Law. C) Bonnet has violated Standard II(A): Material Nonpublic Information, and Claudel has not violated Standard III(A): Loyalty, Prudence, and Care.
Q5. With regard to his consulting work, Claudel is: A) in competition with Vector because he advises individual investors, and in compliance with the Code and Standards. B) not in competition with Vector because Vector doesn’t trade Canadian securities, and in compliance with the Code and Standards. C) in competition with Vector because he advises individual investors, and not in compliance with the Code and Standards.
[此贴子已经被作者于2009-1-7 11:52:16编辑过] | 
发表于 2009-1-7 11:51
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