单项选择题X 纠错
A. only all actual conflicts of interests.
B. only all potential conflicts of interests.
C. both all actual and potential conflicts of interests.
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单项选择题
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.
单项选择题
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.
单项选择题
A. No.
B. Yes, by providing confidential program information to the public.
C. Yes, by compromising the reputation of CFA Institute and CFA program.
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.