2019 CFA practice item siet quiz question
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2019 CFA practice item siet quiz question
-=JFTLevel III ss 1 & 2 Item Set Quiz 1 (12 questions. 36 minutes)Jane Grant Case StudyJane Grant. CFA is a fund manager at Global Assets LLC and curr 2019 CFA practice item siet quiz question rently manages a fond which focuses on the pharmaceutical industry. Outside of work. Jane designs clothes for a few close friends for a nominal fee. She does not disclose this outside business activity to her employer or clients.The fund managed by Jane invests in small-cap. publicly traded companie 2019 CFA practice item siet quiz question s and is recommended only for investors who are able to assume a high level of risk. Six months ago. Jane invested in MiraclePro, a pharmaceutical com2019 CFA practice item siet quiz question
pany focusing on medicines and treatments for cancer and other terminal illnesses. A year ago, MiraclePro’s market capitalization doubled shortly afte-=JFTLevel III ss 1 & 2 Item Set Quiz 1 (12 questions. 36 minutes)Jane Grant Case StudyJane Grant. CFA is a fund manager at Global Assets LLC and curr 2019 CFA practice item siet quiz question ensely from the doubling of MircalePro’s market capitalization. One of the founders of MiraclePro. James Welsh, is on the board of Global Assets. In the last few months. MiraclePro has launched a number of new products and James Welsh's information about the launches led Jane to purchase additional 2019 CFA practice item siet quiz question stock in MiraclePro before the launch became public in the media.Global Assets also has a strategic partnership with a life insurance company. OneLife2019 CFA practice item siet quiz question
. When the sales representatives of Global Assets market the firm’s products (mutual funds, annuities, etc.) to the investing public, they also market-=JFTLevel III ss 1 & 2 Item Set Quiz 1 (12 questions. 36 minutes)Jane Grant Case StudyJane Grant. CFA is a fund manager at Global Assets LLC and curr 2019 CFA practice item siet quiz question ment is not disclosed to clients. In addition, the Global Assets sales team frequently receives gifts of nominal vahie from OneLife.To motivate the sales representatives to perform better. Global Assets has decided to hold a competition amongst the representatives to choose the Sales Representative 2019 CFA practice item siet quiz question of the Year. The winner is determined by the amount of new revenue generated for the firm. The prize is a cash award of USD 100,000. While announcing2019 CFA practice item siet quiz question
details of the competition, the CEO advises the staff to focus their sales efforts on Global Assets’ front-end load funds since they earn the highest -=JFTLevel III ss 1 & 2 Item Set Quiz 1 (12 questions. 36 minutes)Jane Grant Case StudyJane Grant. CFA is a fund manager at Global Assets LLC and curr 2019 CFA practice item siet quiz question m would benefit by adoption of the Asset Manager Code of Professional Conduct. Not only would it encourage ethical and fair practices in the firm but it would also help them increase business volumes. During the meeting, the CEO suggests several recommendations that can be implemented to achieve com 2019 CFA practice item siet quiz question pliance with the Asset Manager Code of Professional Conduct:Recommendation 1: Global Assets has an investment banking business in addition to its fond2019 CFA practice item siet quiz question
management business. To avoid any conflicts, we should create a separate wholly owned subsidiary to undertake the investment banking business.Recomme-=JFTLevel III ss 1 & 2 Item Set Quiz 1 (12 questions. 36 minutes)Jane Grant Case StudyJane Grant. CFA is a fund manager at Global Assets LLC and curr 2019 CFA practice item siet quiz question right e IFT. All lights leservedwww.ift. worldPage 1-=1FTLevel III ss 1 & 2 Item Set Quiz 1 (12 questions. 36 minutes)1Which of the following statements is most likely accurate regarding Jane's actions in relation to her business activity outside of work? Jane is:A.Not obligated to disclose these ou 2019 CFA practice item siet quiz question tside business activities because they do not present a conflict of interest.B.In violation of the Code and Standards for not disclosing her outside b2019 CFA practice item siet quiz question
usiness activities to Iter employer.c. In violation of the Code and Standards by including high risk investments in the fund portfolio assets.2With re-=JFTLevel III ss 1 & 2 Item Set Quiz 1 (12 questions. 36 minutes)Jane Grant Case StudyJane Grant. CFA is a fund manager at Global Assets LLC and curr 2019 CFA practice item siet quiz question resentationB.Material Non-public Information3With respect to Global Asset's relationship with OneLife. which of the following is most likely a violation of the Code and Standards:A.Marketing OneLife's products along with its own.B.Receiving a commission from OneLife.c. Not disclosing the commission 2019 CFA practice item siet quiz question arrangement to clients and potential clients.4By participating in Global Asset's Sales Representative of the Year competition, the sales representativ2019 CFA practice item siet quiz question
es are least likely to violate the standard with respect to:A.Loyalty, prudence and care.B.Suitability.c. Additional compensation arrangements.5Which -=JFTLevel III ss 1 & 2 Item Set Quiz 1 (12 questions. 36 minutes)Jane Grant Case StudyJane Grant. CFA is a fund manager at Global Assets LLC and curr 2019 CFA practice item siet quiz question nager Code.B.Maintaining the investment banking business, even as a separate subsidiary, is not consistent with the Asset Manager Code.c. It is acceptable to maintain both the fund management and investment banking businesses as long as any possible conflicts are clearly disclosed.6If Recommendation 2019 CFA practice item siet quiz question 2 were to be implemented, which aspect of the Asset Manager Code would most likely be violated?A.Fairdealing.B.Best execution.-=JFTLevel III ss 1 & 2 Item Set Quiz 1 (12 questions. 36 minutes)Jane Grant Case StudyJane Grant. CFA is a fund manager at Global Assets LLC and curr-=JFTLevel III ss 1 & 2 Item Set Quiz 1 (12 questions. 36 minutes)Jane Grant Case StudyJane Grant. CFA is a fund manager at Global Assets LLC and currGọi ngay
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