2019 CFA level 1 SS 01 quiz 1 ethical and professional standars
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2019 CFA level 1 SS 01 quiz 1 ethical and professional standars
ss 01 Ethical and Professional StandardsQuestion #1 of 151Questcn ID 412713As countries adopt the Global Investment Performance Standards (GIPS). whch 2019 CFA level 1 SS 01 quiz 1 ethical and professional standars h of lhe following is toast tikatyto occur?A)The trend toward cross border divestments will declineB)Competition in the global investment industry will be enhanced.C)Existing and potential clients will be able to make fair and unambiguous comparisons among investment firms.Question #2 of 151Question 2019 CFA level 1 SS 01 quiz 1 ethical and professional standars ID 412664Jan.ce Melfi >s a portfolio manager for Soprano Advisors. Soprano has developed a proprietary model that has been thoroughly researched and2019 CFA level 1 SS 01 quiz 1 ethical and professional standars
is known throughout the industry as the Soprano model. The model is purely quantitative and screens stocks into buy. hold, and sell categories. The bass 01 Ethical and Professional StandardsQuestion #1 of 151Questcn ID 412713As countries adopt the Global Investment Performance Standards (GIPS). whch 2019 CFA level 1 SS 01 quiz 1 ethical and professional standars ct that is well explained to clients, although the specific alterations are not continually disclosed. Portfolio managers use the model to assist them in making portfolio decisions, but. based on their own fundamental research, are allowed to purchase securities not recommended by the model Ths fact 2019 CFA level 1 SS 01 quiz 1 ethical and professional standars >s not disclosed to the clients, because the head of marketing does not think it is relevant. Which of the following statements regarding the portfol2019 CFA level 1 SS 01 quiz 1 ethical and professional standars
io manager's investment decisions is CORRECT?A)Soprano is violating the Standards by not disclosing the fundamental research aspect of the investment ss 01 Ethical and Professional StandardsQuestion #1 of 151Questcn ID 412713As countries adopt the Global Investment Performance Standards (GIPS). whch 2019 CFA level 1 SS 01 quiz 1 ethical and professional standars her.Question #3 of 151Questcn ID 412631Ralph Lim and Susan Bland have both passed Level I of the CFA Program. Both are currently enrolled to sit for Level II. Lim's business card reads. "Ralph Lim. CFA Level I* Bland's resume states. "Level II Candidate in the CFA Program." According to CFA Institut 2019 CFA level 1 SS 01 quiz 1 ethical and professional standars e Standards of Professional Conduct involving use of the professional designationA)Both Lim and Bland violated the Standard.B)Bland violated the Stand2019 CFA level 1 SS 01 quiz 1 ethical and professional standars
ard, but Lim did not.C)Llm violated the Standard, but Bland did not.Question #4 of 151Question ID: 412662Dan Jeffries is a portfolio manager who is bess 01 Ethical and Professional StandardsQuestion #1 of 151Questcn ID 412713As countries adopt the Global Investment Performance Standards (GIPS). whch 2019 CFA level 1 SS 01 quiz 1 ethical and professional standars e same offense Jeffries settles the lawsuit with the client while the Professional Conduct Program investigation is ongoing. When the Professional Conduct Program staff questions Jeffries about the problematic investment advice. Jeffries claims he cannot talk about it because doing so would vioiate 2019 CFA level 1 SS 01 quiz 1 ethical and professional standars the confidentiality of his client. Jeffries has:A)violated the Standards by refusing to talk about the case with the Professional Conduct Program, but2019 CFA level 1 SS 01 quiz 1 ethical and professional standars
not by executing the settlement agreementB)not violated the Standards by executing the settlement agreement or by refusing to talk about the case Witss 01 Ethical and Professional StandardsQuestion #1 of 151Questcn ID 412713As countries adopt the Global Investment Performance Standards (GIPS). whch 2019 CFA level 1 SS 01 quiz 1 ethical and professional standars Professional Conduct Program.Question #5 of 151Question ID 412731When verifying a firm’s compliance with Global Performance Investment Standards (GIPS), the verifier must:A)attest that the firm's processes and procedures are established to present performance in accordance with GIPS requirements.B) 2019 CFA level 1 SS 01 quiz 1 ethical and professional standars disơose whether the verification was performed by the firm’s internal auditors or a third party.C)clearly identify the composites for which verificati2019 CFA level 1 SS 01 quiz 1 ethical and professional standars
on has been performedQuestion #6 of 151Question ID 412748All of the following are titles of one of the nine sections of the Global Investment Performass 01 Ethical and Professional StandardsQuestion #1 of 151Questcn ID 412713As countries adopt the Global Investment Performance Standards (GIPS). whchss 01 Ethical and Professional StandardsQuestion #1 of 151Questcn ID 412713As countries adopt the Global Investment Performance Standards (GIPS). whchGọi ngay
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