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Question 4Sally Fiedler, CFA, is a portfolio manager for Asipre Investments, Inc. In her s

Question 4

Sally Fiedler, CFA, is a portfolio manager for Asipre Investments, Inc. In her spare time Fiedler intends to manage the small endowment fund for her children’s private day school. She believes it will only take a couple of hours each weekend and she will receive a discount on tuition for her two children. According to Standard IV(B) – Additional Compensation Arrangements, Fiedler:

A.must inform her employer of the arrangement but need not get permission as the time commitment is small.

B.must inform her employer and get permission, either verbal or written.

C.must inform her employer of all the details of this arrangement and receive written permission.

D.need not inform her employer because it will be on her own time and there is no actual compensation received.

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第1题

Question 3Lunar Investment Management is a subsidiary of a larger company, Galaxy Financia

Question 3

Lunar Investment Management is a subsidiary of a larger company, Galaxy Financial. Lunar’s CEO, Travis Howry, would like to have Lunar present GIPS-compliant performance data and has taken the steps necessary to ensure that Lunar’s performance presentation is compliant. He asks Galaxy’s President, Don Wiggins, about Galaxy’s interest in presenting GIPS-compliant performance data. Wiggins informs Howry that Galaxy is not interested. Lunar may:

A.not claim compliance because compliance must be made on a company-wide basis.

B.claim partial compliance if Lunar’s performance presentations are in compliance but disclose that Galaxy’s are not and in what ways.

C.claim compliance as long as Lunar is advertised as a distinct business entity, separate from Galaxy.

D.not claim compliance unless Galaxy’s ownership of Lunar is less than 50%.

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第2题

Question 2Sandra Fellows, CFA, received a telephone call from one of her clients at Boston

Question 2

Sandra Fellows, CFA, received a telephone call from one of her clients at Boston Financial offering her the free use of the client’s vacation home on Cape Cod the following summer. The client stated that the offer was given in appreciation for their many years of working together. To be in compliance with the Code and Standards, Fellows:

A.may accept the offer only if her supervisor is informed and gives consent.

B.may accept the offer without disclosure because the benefit is not contingent upon performance.

C.must decline the offer.

D.may accept the offer but must inform her employer of the gift.

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第3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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D.乳酸菌

E.L-阿拉伯糖

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此题为判断题(对，错)。

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举例说明康复治疗技术中，常见有哪些方法?

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