单项选择题X 纠错
A. No.
B. Yes, by providing confidential program information to the public.
C. Yes, by compromising the reputation of CFA Institute and CFA program.
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单项选择题
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.
单项选择题
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.
单项选择题
A. No.
B. Yes, relating to disclosure of conflicts.
C. Yes, relating to preservation of confidentiality.
单项选择题
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.
单项选择题
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.
单项选择题
A. No.
B. Yes, relating only to material nonpublic information.
C. Yes, relating both to material nonpublic information and priority of transactions.
单项选择题
A. The CFA Institute Designated Officer.
B. The Disciplinary Review Committee.
C. The CFA Institute Professional Conduct staff.
单项选择题
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.
单项选择题
A. No.
B. Yes, relating to suitability.
C. Yes, relating to loyalty, prudence, and care.