A. Written complaints received by Professional Conduct staffs.
B. A violation report submitted by CFA examination proctors.
C. Internal investigations of members conducted by local CFA societies.
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A. No.
B. Yes, relating to disclosure of conflicts.
C. Yes, relating to preservation of confidentiality.
A. only the nature of the consideration.
B. only an estimated dollar value of the consideration.
C. both the nature and the estimated dollar value of the consideration.
A. dissociate from any violation of applicable laws, rules, or regulations.
B. seek the advice of compliance personnel or legal counsel concerning legal requirements.
C. disclose to CFA Instituteinvolvement in any civil litigation in the member's professional conduct statement.
A. No.
B. Yes, relating only to material nonpublic information.
C. Yes, relating both to material nonpublic information and priority of transactions.
A. The CFA Institute Designated Officer.
B. The Disciplinary Review Committee.
C. The CFA Institute Professional Conduct staff.
A. ensure that his firm has standardized criteria for reviewing external advisers.
B. have an understanding of the parameters used in the model or quantitative research.
C. dissociate from team research reports that do not reflect the member's opinion.
A. No.
B. Yes, relating to suitability.
C. Yes, relating to loyalty, prudence, and care.
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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