2019 CFA level 3 qbank r 1 2 CFA ins code of ethics and standards of prof conduct standards I–VII 2 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 2 answers
2019 CFA level 3 qbank r 1 2 CFA ins code of ethics and standards of prof conduct standards I–VII 2 answers
1Q'11.-2018Learning Management SystemQuestion #1 of 199Wes Smith, CFA, works for Advisors, Inc. In order to remain in compliance with Standard V(A), D 2019 CFA level 3 qbank r 1 2 CFA ins code of ethics and standards of prof conduct standards I–VII 2 answers Diligence and Reasonable Basis, Smith may recommend a security in which of the following situations?A)For either of the reasons listed here.ỠB)Smith reads a favorable review of the security in a widely read periodical.ỠC) Advisors' research department recommends a stock.Explanation(Study Session 1, 2019 CFA level 3 qbank r 1 2 CFA ins code of ethics and standards of prof conduct standards I–VII 2 answers Module 2.7, LOS 2-v.(A))Related MaterialSchweserNotes • Book 1I. Use of theQuestion #2 of 199Smith will be in violation if he acts solely on the basis2019 CFA level 3 qbank r 1 2 CFA ins code of ethics and standards of prof conduct standards I–VII 2 answers
of what he read i information within the firm can be relied upon unless the Smith source lacks a sound basis.bout a member's use of client brokerage 1Q'11.-2018Learning Management SystemQuestion #1 of 199Wes Smith, CFA, works for Advisors, Inc. In order to remain in compliance with Standard V(A), D 2019 CFA level 3 qbank r 1 2 CFA ins code of ethics and standards of prof conduct standards I–VII 2 answers may be diretted to pay for the investment manager's operating expenses.C)should be used by the member to ensure that fairness to the client is maintained.ExplanationBrokerage commissions are the property of the client and may only be used for client benefit.(Study Session 1, Module 2, LOS 2.a)Relate 2019 CFA level 3 qbank r 1 2 CFA ins code of ethics and standards of prof conduct standards I–VII 2 answers d MaterialSchweserNotes - Book 1https:.'.VAwkapiarveam2019 CFA level 3 qbank r 1 2 CFA ins code of ethics and standards of prof conduct standards I–VII 2 answers
'834i5243',píínt1.-13942654Learning Management SystemQuestion #3 of 199Dixie Miller, a Level II CFA candidate, heads the research department of a larg1Q'11.-2018Learning Management SystemQuestion #1 of 199Wes Smith, CFA, works for Advisors, Inc. In order to remain in compliance with Standard V(A), D 2019 CFA level 3 qbank r 1 2 CFA ins code of ethics and standards of prof conduct standards I–VII 2 answers iller delegates some of her supervisory duties, which statement best describes her responsibilities under the CFA Institute Code and Standards?A)Miller retains supervisory responsibilities for those duties delegated to her subordinates.B) Miller's supervisory responsibilities do not apply to those s 2019 CFA level 3 qbank r 1 2 CFA ins code of ethics and standards of prof conduct standards I–VII 2 answers ubordinates who are not subject to the CFA Institute Code and Standards.C) CFA Institute Standards prevent Miller from delegating supervisory dut subo2019 CFA level 3 qbank r 1 2 CFA ins code of ethics and standards of prof conduct standards I–VII 2 answers
rdinates.©Explanation1Q'11.-2018Learning Management SystemQuestion #1 of 199Wes Smith, CFA, works for Advisors, Inc. In order to remain in compliance with Standard V(A), D1Q'11.-2018Learning Management SystemQuestion #1 of 199Wes Smith, CFA, works for Advisors, Inc. In order to remain in compliance with Standard V(A), DGọi ngay
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