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[主观题]

James Simone, CFA, the chief financial officer of a publicly listed company, seeks to improve the quality of his companys communication with institutional fund managers. He holds an investor briefing

A、Yes

B、No,because the company releases information while the market is closed

C、No,because investor briefing and press release information are identical

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更多“James Simone, CFA, the chief f…”相关的问题

第1题

James Simone, CFA, the CFO of a publicly listed company, seeks to improve the quality of his companys communication with institutional fund managers. He holds an investor briefing with this group the

A、Yes

B、No,because investor briefing and press release information are identical

C、No,because the company releases information while the market is closed

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第2题

James Woods, CFA, is a portfolio manager at ABC Securities. Woods has reasonable grounds to believe his colleague, Sandra Clarke, a CFA Level ⅠI candidate, is engaged in unethical trading activities t

A、Report Sandra Clarke to ABCs trading supervisor or compliance department.

B、Not take any action because he is not directly involved

C、Report Sandra Clarke to the appropriate governmental or regulatory organization

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第3题

Samantha Donovan, CFA, is an exam proctor for the Level II CFA exam. The day before the exam is to be administered, Donovan faxes a copy of one of the questions to two friends, James Smythe and Lynn Y

A、Smythe violated the Code and Standards,but Yeats did not.

B、Donovan violated the Code and Standards,but Smythe did not.

C、Donovan and Yeats both violated the Code and Standards.

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第4题

"On ne naît pas femme, on le devient" est une citation de ______.

A、Simone de Beauvoir

B、la mythotologie grecque

C、Héra

D、Zeus

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第5题

Question 10James Copley, a pension fund manager and a CFA charterholder, has an agreement

Question 10

James Copley, a pension fund manager and a CFA charterholder, has an agreement with a brokerage firm to give him lower transactions costs on his personal brokerage in exchange for directing the pension fund’s trades to the brokerage firm. Copley is most likely violating which of the following Standards？

A.Standard Ⅲ(A), Loyalty, Prudence, and Care.

B.Standard Ⅲ(B), Fair Dealing.

C.Standard V(A), Diligence and Reasonable Basis.

D.Standard V(B), Communication with Clients and Prospective Clients.

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第6题

Question 10

A.Standard Ⅲ(A), Loyalty, Prudence, and Care.

B.Standard Ⅲ(B), Fair Dealing.

C.Standard V(A), Diligence and Reasonable Basis.

D.Standard V(B), Communication with Clients and Prospective Clients.

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第7题

Melvin Byrne, CFA, manages a portfolio for James Martin, a wealthy client. Martins portfolio is well diversified with a slight tilt toward capital appreciation. Martin requires very little income from

A、Violated the Code and Standards by knowingly creating a conflict of interest between Jamess and Cliffs portfolios.

B、Violated the Code and Standards by failing to determine Cliffs objectives and constraints prior to investing his portfolio.

C、Did not violate the Code and Standards.

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第8题

Question 1James Cox, CFA, is employed by a London investment banking firm. Firm policy sta

Question 1

James Cox, CFA, is employed by a London investment banking firm. Firm policy states that employees must pay for their own meals and entertainment if they go out socially with vendors or prospective vendors of the company. Thomas Wheelwright, a representative of a major securities information service, invites Cox out for a dinner. Wheelwright insists on paying for the evening. If Cox allows Wheelwright to pay for the dinner, Cox has violated:

A.company policy but not the Code and Standards.

B.both company policy and the Code and Standards.

C.company policy but not the Code and Standards as long as the firm receives full disclosure of Cox’s potential conflict of interest.

D.neither company policy nor the Code and Standards because the social engagement was not directly related to company business.

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第9题

Question 1

A.company policy but not the Code and Standards.

B.both company policy and the Code and Standards.

C.company policy but not the Code and Standards as long as the firm receives full disclosure of Cox’s potential conflict of interest.

D.neither company policy nor the Code and Standards because the social engagement was not directly related to company business.

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第10题

Stian Klun, CFA is preparing a brochure to advertise his firm. The brochure includes the following disclosures:
"I am a CFA so I am a member of the CFA Institute which I believe constitutes t

Stian Klun, CFA is preparing a brochure to advertise his firm. The brochure includes the following disclosures:

"I am a CFA so I am a member of the CFA Institute which I believe constitutes t

A、CFA Institute.

B、CFA Program

C、CFA Designation

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