mcdullpong

thanks

thekongss

非常感謝您!

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1 Correct answer is A

Global Investment Performance Standards (GIPS) 2008 Modular Level I, Vol. 1, pp. 127-128 Study Session 1-4-a describe the key characteristics of the GIPS standards and the fundamentals of compliance A key characteristic of the Standards is that the Standards rely on the integrity of input data. The accuracy of input data is critical to the accuracy of the performance presentation.

 

2 Correct answer is B

Guidance for Standards I-VII, Standards of Practice Handbook 2008 Modular Level I, Vol. 1, p. 50 Study Session 1-2-a demonstrate a thorough knowledge of the Code of Ethics and Standards of Professional Conduct by applying the Code and Standards to specifi c situations presenting multiple issues of questionable professional conduct A fi duciary who votes blindly with management on non-routine governance issues may breach their duty to clients by violating the standard that relates to loyalty, prudence, and care.

 

3 Correct answer is B

Guidance for Standards I-VII, Standards of Practice Handbook 2008 Modular Level I, Vol. 1, pp. 50-55, 94-95, 98, Example 3 Study Session 1-2-a demonstrate a thorough knowledge of the Code of Ethics and Standards of Professional Conduct by applying the Code and Standards to specifi c situations presenting multiple issues of questionable professional conduct B is correct because Scott’s method of allocating oversubscribed IPOs discriminates against her uncle, who is a fee-paying client; she violates the Standard related to Fair Dealing. Family accounts that are fee-paying client accounts should be treated like any other fi rm account. They should neither receive special treatment nor be disadvantaged because of an existing family relationship.

 

4 Correct answer is C

Guidance for Standards I-VII, Standards of Practice Handbook 2008 Modular Level I, Vol. 1, pp. 76-79 Study Session 1-2-a demonstrate a thorough knowledge of the Code of Ethics and Standards of Professional Conduct by applying the Code and Standards to specifi c situations presenting multiple issues of questionable professional conduct A supervisor may delegate supervisory responsibilities, but such delegation does not relieve them of their supervisory responsibility; Li must immediately begin an investigation of the matter to ascertain the extent of the wrongdoing. Relying on assurances from the employee or simply reporting the misconduct up the chain of command are not enough.

 

5 Correct answer is D

Guidance for Standards I-VII, Standards of Practice Handbook

2008 Modular Level I, Vol. I, pp. 21-23, 29-31, 80-82

Study Session 1-2-b
distinguish between conduct that conforms to the Code and Standards and conduct that violates the Code and the Standards
Takeda may rely on and issue reports based on third-party research providers if he has no reason to question the soundness or reliability of their research and he appropriately references his sources. He also appropriately discloses his interest in the company.