A. No.
B. Yes, by providing confidential program information to the public.
C. Yes, by compromising the reputation of CFA Institute and CFA program.
延伸阅读
你可能感兴趣的试题
With respect to the Global Investments Performance Standards (), which of the following statements is least accurate Verification:()
A. ensure the accuracy of composite presentations.
B. improve the consistency and quality of the firm's compliance presentations.
C. provide improved internal processes and procedures as well as marketing advantages to the firm.
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.
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.
热门相关试卷
最新相关试卷