单项选择题X 纠错
A. make their clients aware of all forms of manager compensation.
B. seek best execution for their clients in any circumstance.
C. diversify investments to reduce the risk of loss in any circumstance.
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单项选择题
A. only fee-paying discretionary assets.
B. both fee-paying discretionary assets and non-fee-paying discretionary assets.
C. all fee-paying and non-fee-paying, discretionary and nondiscretionary assets.
单项选择题
A. No.
B. Yes, because he distorted the price-setting mechanism of financial instruments.
C. Yes, because heartificially affected the trading volume significantly.
单项选择题
A. only all actual conflicts of interests.
B. only all potential conflicts of interests.
C. both all actual and potential conflicts of interests.
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.