Jan Loots, CFA, quit his job as a portfolio manager at an investment firm with whom he had a non-solicitation agreement he signed several years ago. Loots received permission to take his investment pe

A、Trading software.

B、non-solicitation agreement.

C、Investment performance history.

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第1题

Tamlorn Mager, CFA, is an analyst at Pyallup Portfolio Management. CFA Institute recently notified Mager that his CFA Institute membership was suspended for a year because he violated the CFA Code of

A、Presenting himself to the public as a CFA charterholder

B、Providing evidence for his position to an outside arbitration panel

C、Using his CFA designation upon expiration of the suspension period

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第2题

Thomas Anderson, CFA, recently quit his job as an investment consultant and started his ow

n business. Based on his memories, he recreated the investment model he made at his former employer. Anderson provided the model to some prospective clients as an example to prove his abilities. Did Anderson violate any CFA Institute Standards of Professional Conduct？

A.Yes, with regard to Standard V (C)-Record Retention.

B.Yes, with regard to Standard V (B)-Communication with Clients.

C.No.

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第3题

Sanjay Gupta, CFA, is interviewed by the First Faithful Church to manage the churchs voluntary retirement plans equity portfolio based upon his superior return history. Each church staff member choose

A、No

B、Yes,because the manager was hired based upon his previous investment strategy

C、Yes,because the restrictions provided by the Trustees are not in the best interest of the members

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第4题

His wife thought Christopher suddenly quit his job because he______.A．couldn't wait to get

His wife thought Christopher suddenly quit his job because he______.

A．couldn't wait to get promoted

B．had experience in interior design

C．wanted to do something he enjoyed

D．couldn't bear the pressure from his job

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