2019 CFA level 3 qbank r 1 2 CFA ins code of ethics and standards of prof conduct standards I–VII 1 answers
➤ Gửi thông báo lỗi ⚠️ Báo cáo tài liệu vi phạmNội dung chi tiết: 2019 CFA level 3 qbank r 1 2 CFA ins code of ethics and standards of prof conduct standards I–VII 1 answers
2019 CFA level 3 qbank r 1 2 CFA ins code of ethics and standards of prof conduct standards I–VII 1 answers
42654Learning Management SystemQuestion #1 of 181Sandra Bulow, CFA, is responsible for updating her employing firm's website to include changes in ana 2019 CFA level 3 qbank r 1 2 CFA ins code of ethics and standards of prof conduct standards I–VII 1 answers alysis techniques and trading procedures. She is often very delinquent in making these changes, despite working extensive hours. She is aware clients are using the website to make investment decisions, and has received complaints from the sales department as the information on the website if often d 2019 CFA level 3 qbank r 1 2 CFA ins code of ethics and standards of prof conduct standards I–VII 1 answers ifferent from what is presented in sales meetings. Bulow is most likely.A)in violation of Standard l(C) "Misrepresentation.10B)in violation of Standar2019 CFA level 3 qbank r 1 2 CFA ins code of ethics and standards of prof conduct standards I–VII 1 answers
d II 1(B) "Fair Dealing.C)not in violation of any Standard.0ExplanationBulow is most likely in violation of Standard l(C) "M information is erroneous,42654Learning Management SystemQuestion #1 of 181Sandra Bulow, CFA, is responsible for updating her employing firm's website to include changes in ana 2019 CFA level 3 qbank r 1 2 CFA ins code of ethics and standards of prof conduct standards I–VII 1 answers on #2 of 1Tony Calaveccio, GFA.Us th’e manager of the TrustCo Small Cap Venture Fund in Toronto. He places trades fó^ the fund with River City Brokerage. River City presents Calaveccio with a bottle of inexpensivewine at Christmas each year. Calaveccio does not disclose this fact in theprospectus of 2019 CFA level 3 qbank r 1 2 CFA ins code of ethics and standards of prof conduct standards I–VII 1 answers the small cap venture fund. This action is:A)in violation of the Standard concerning disclosure of conflicts to clients and©prospects.B)in violation2019 CFA level 3 qbank r 1 2 CFA ins code of ethics and standards of prof conduct standards I–VII 1 answers
of the Standard concerning disclosure of additional compensation arrangements.C)not in violation of the Code and Standards.9Explanationhttps:.1'VMw.Ka42654Learning Management SystemQuestion #1 of 181Sandra Bulow, CFA, is responsible for updating her employing firm's website to include changes in ana 2019 CFA level 3 qbank r 1 2 CFA ins code of ethics and standards of prof conduct standards I–VII 1 answers ent SystemUnder Standard l(B) Independence and Objectivity, members are advised w .x.«rfx,..M«.x. care" in order to maintain independence. While it is clearly understood that gifts from various entities have the potential to affect a member's independence and objectivity, a member can accept token g 2019 CFA level 3 qbank r 1 2 CFA ins code of ethics and standards of prof conduct standards I–VII 1 answers ifts as long as they are not intended to influence or reward.(Study Session 1, Module 2.1, LOSRelated MaterialSchweserNotes • Book 1Question #3 of 1812019 CFA level 3 qbank r 1 2 CFA ins code of ethics and standards of prof conduct standards I–VII 1 answers
lawyer. At lunch. Fox noticed Gordon and the Chief Financial Officer of Blue Star Company at the next table. She overhears them talking and ascertains42654Learning Management SystemQuestion #1 of 181Sandra Bulow, CFA, is responsible for updating her employing firm's website to include changes in ana 2019 CFA level 3 qbank r 1 2 CFA ins code of ethics and standards of prof conduct standards I–VII 1 answers or his portfolio. Fox:r informing all of her clientsA)can only purchase shares for her personal aâ about the potential of the increase in earning’B)must refuse to purchase shares for Gordon, 2019 CFA level 3 qbank r 1 2 CFA ins code of ethics and standards of prof conduct standards I–VII 1 answers 42654Learning Management SystemQuestion #1 of 181Sandra Bulow, CFA, is responsible for updating her employing firm's website to include changes in anaGọi ngay
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