单项选择题Emilie Rome. CFA, is a stock broker in Miller investment consulting firm. Charlotte Everett, one of Rome's clients is a retiree living on income from her pension plan with below-average risk tolerance. Everett asks Rome to buy a structured product consisting of call and put stock options. Rome tells Everett that the product has significantly high risk and low income. However, Everett still confirms the order, and Rome executes the trade. Has Davis most likely violated the Standards of Professional Conduct
A. No.
B. Yes, relating to suitability.
C. Yes, relating to loyalty, prudence, and care.
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1.单项选择题Which of the following is most accurate With respect to accepting gifts from clients, CFA members:
A. may not accept business-related entertainment.
B. may accept modest giftsbelow $ 100 per gift without any disclosure.
C. must disclose to their employers benefits previously accepted from clients if notification is not possible prior to acceptance.
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