Carol Corky, CFA, is a senior portfolio manager for Universal Management. Universal Management manages five funds, each with a large-capitalization investment strategy. When choosing portfolios under its large-capitalization investment strategy for the purpose of achieving compliance with the Global Investments Performance Standards (), which of the following is most accurate Universal Management is most likely required to include:()
A. all discretionary portfolios currently managed under the large-capitalization investment strategy.
B. all discretionary portfolios currently and historically managed under the large-capitalization investment strategy.
C. all discretionary and non-discretionary portfolios currently and historically managed under the large-capitalization investment strategy.
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Which of the following is NOT a recommendation procedure without applying Global Investments Performance Standards () for compliance with the Standards of Professional Conduct relating to performance presentation()
A. Provide performance information in a consistent and standard format for all audiences.
B. Clearly indicate when the performance record is that of a prior entity.
C. Include terminated accounts as part of performance history with a clear indication of the time when the accounts were terminated.
A. No.
B. Yes, by providing confidential program information to the public.
C. Yes, by compromising the reputation of CFA Institute and CFA program.
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.
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