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[主观题]

Brett Germaine is an AIMR？member who manages client portfolios. He has the power to buy a

nd sell securities on behalf of his clients. His mother is a client and Brett manages her trust. With respect to his mother 抯 account, he must:

A.treat her account with a bit more care and concern giving her advance notice of information like recommendation changes.

B.treat her account with less care and concern than his other accounts so as to avoid the appearance of favoritism and comply with the Code and Standards.

C.not take his mother’s account because it is a violation of the Code and Standards to manage a family member’s account or trust.

D.treat her account like any other firm account and should not give her account special treatment or disadvantage.

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更多“Brett Germaine is an AIMR？memb…”相关的问题

第1题

With respect to Standard III(E), Responsibilities of Supervisors, compliance supervisors and compliance officers should do all of the following EXCEPT:

A.disseminate the compliance procedures.

B.incorporate a professional conduct evaluation into the employee’s performance review.

C.hold hearings with representatives from the firm to decide whether violatio ns have occurred and the level of severity of the violations.

D.review employee actions to ensure compliance and identify violators.

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第2题

Which of the following statements regarding employee/employer relationships is FALSE?

A.A written contract may or may not exist between employer and employee.

B.The employer has the power to control and direct the details of how work is to be performed.

C.There must be monetary compensation for an employer/employee relationship to exist.

D.An employee is someone in the service of another.

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第3题

When an AIMR?member who is presently employed by a firm undertakes any independent practice, he must do all of the following EXCEPT:

A.secure written permission from the employer.

B.remand a percentage (to be determined by the employee and employer) of the income earned back to the employer.

C.secure written permission from the outside firm.

D.disclose the identity of their employer to clients and prospective clients and the fact that they are performing independently of the employer.

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第4题

An AIMR member is NOT required to notify her supervisor in writing of the AIMR Code and Standards under which of the following circumstances?

A.The employer has indicated a willingness to adopt AIMR’s Code and Standards, and the supervisor is an AIMR member.

B.The employer has a high ethical standard, much of which is reflected in writing in the firm’s Mission Statement.

C.The supervisor is an AIMR member.

D.The employer has publicly acknowledged in writing that they have adopted the AIMR Code and Standards.

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第5题

When must an analyst give credit to the firm 抯 own research staff for research analysis?

A.When sending printed materials to clients.

B.When discussing research with a client.

C.In a professional witness situation.

D.In inter-office communications.

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第6题

Which of the following would NOT violate AIMR 畳 s rules regarding personal integrity and behavior?

A.A driving under the influence (DUI) conviction that results in the loss of one’s driver’s license for six months.

B.Stealing a car and going to prison for 18 months.

C.A misdemeanor conviction that results from lying about your income on your tax return.

D.Cheating on an MBA preliminary exam and being expelled from the University.

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第7题

All of the following are appropriate uses of the CFA designation EXCEPT:

A.Jeremy Salyers, CFA.

B.Joanne Silbourne is a CFA charterholder.

C.I, as a CFA charterholder, expect to outperform the market because CFA charterholders have on average outperformed the S&P in 95 percent of the last 50 years.

D.I have earned the CFA designation by passing three exams, having sufficient work experience and becoming a member of AIMR?.

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第8题

Which of the following statements about the AIMR?Code and Standards is TRUE? The Code and Standards:

A.require that members report legal violations to the appropriate governmental or regulatory organization.

B.do not require that members report legal violations to the appropriate governmental or regulatory organization.

C.expect members to resign from their jobs to disassociate themselves from clients engaging in illegal activities.

D.expect members to persuade the perpetrator to cease illegal activities.

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第9题

AIMR?believes:

A.that a maximum level of professional responsibility and conduct dictates that members be aware of and comply with laws, rules, and regulations governing their conduct.

B.companies should set standards based on the ethics of upper management and the board of directors.

C.that firms should comply with all domestic laws and regulations and that these laws also govern behavior in foreign markets, regardless of foreign laws and requirements.

D.that a minimum level of professional responsibility and conduct dictates that members be aware of and comply with laws, rules, and regulations governing their conduct.

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第10题

There are four components of the AIMR?Code of Ethics. All of the following are part of the Code of Ethics EXCEPT:

A.Practice and encourage others to practice in a professional and ethical manner that will reflect credit on members and their profession.

B.Strive to maintain and improve the competence of regulatory bodies such as the Securities and Exchange Commission (SEC).

C.Strive to maintain and improve the competence of others in the profession.

D.Use reasonable care and exercise independent professional judgment.

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