Reading 2-III: Standards of Professional Conduct & Gui possible, following, fiduciary, 2009

mayanfang1

Q6. Which of the following is a possible breach of fiduciary duties by a CFA Institute member who manages assets on behalf of a client?

A)   Using directed brokerage.

B)   Neither of these breach fiduciary duties.

C)   Voting all proxies of stocks the client owns.

Q7. In order to comply with Standard III(A), Loyalty, Prudence, and Care, an analyst needs to:

A)   perform both of the actions listed here.

B)   liquidate his personal holdings of all stocks that his client owns.

C)   comply with applicable fiduciary duty.

[此贴子已经被作者于2009-1-9 15:49:05编辑过]

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