Q6. Standard VI(C), Referral Fees, requires the member to do all of the following EXCEPT: A) disclose to the referred client the percentage of the member's business that comes from referrals. B) make required disclosures to the referred client before an agreement is made to provide services to the referred client. C) disclose to the referred client how much the referral source was paid to refer the client.
Q7. A member or candidate that receives consideration from others for the recommendation of products or services, must disclose the estimated dollar value of the consideration paid in: A) cash, soft dollars, or in kind. B) cash or soft dollars only. C) cash only.
Q8. Standard VI(C), Referral Fees, is applicable to: A) only cash consideration received for the recommendation of products or services. B) only consideration paid in soft dollars for the recommendation of products or services. C) all consideration received or paid for the recommendation of products or services.
Q9. Joe James, CAIA, CPA, is a CFA Level II candidate living in Boston. In the course of his accounting practice, James often refers clients to a local law firm specializing in estate planning. James does not violate client confidentiality and does not receive compensation for the referral. However, the law firm often gives James tickets to the theater and major sporting events.
Which of the following statements regarding disclosure is TRUE? James: A) need not disclose the benefits received for referring clients because no compensation is received. B) need not disclose the benefits received for referring clients because the clients were developed in the course of his accounting practice. C) must disclose the benefits received for referring clients to the law firm.
[此贴子已经被作者于2009-1-4 14:56:38编辑过] | 
发表于 2009-1-4 14:52
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