题目内容（请给出正确答案）

[主观题]

Tibor Figeczky, CFA, is an equity trader at Global Investment Bank （GB）, Figeczky traded the banks investment portfolio profitably for the past three years and earned significant bonuses for his effor

A、Disclose the complaint to the CFA Institute.

B、Refuse further bonuses until the issue is resolved.

C、Request a temporary suspension of his CFA Institute membership.

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更多“Tibor Figeczky, CFA, is an equ…”相关的问题

第1题

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A．People interested in traveling

B．People interested in bookkeeping

C．People interested in trading stocks

D．People interested in financial news

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第2题

Joe Mayer, CFA, projects that XYZ Company's return on equity varies with the state

of the economy in thefollowing way:

The standard deviation of XYZ's expected return on equity is closest to:

A) 3.5%.

B) 12.3%.

C) 1.3%.

D) 1.5%.

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第3题

Carlos Cruz, CFA, is one of two founders of an equity hedge fund. Cruz manages the funds assets, and the other co-founder, Brian Burkeman, CFA, is responsible for fund sales and marketing. Cruz notice

A、Provide a disclaimer in marketing materials indicating prices are as of a specific date.

B、Report the discrepancy to CFA Institutes Professional Conduct Program.

C、Correct the asset information and provide updates to prospective clients.

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第4题

A、Correct the asset information and provide updates to prospective clients.

B、Report the discrepancy to CFA Institutes Professional Conduct Program.

C、Provide a disclaimer within marketing material indicating prices are as of a specific date.

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第5题

Yuan, CFA, is a fund manager works on an independent investment institution. He manages a

trust fund.This trust fund was established by a millionaire, and the beneficiary was his minor son Jack. The IPS stipulate that the fund is to provide Jack with living expenses and tuition fees, and continues until he is 40 years old, so the fund required to invest low-risk and stable income only. However, Jack found Yuan and asked him to invest in a private equity fund.Jack believes that this private equity fund can provide a very good return, although there is a three-year lockup period.During the lockup period, there is zero yield and cannot redemption. Yuan accepted Jack’s request and invested in this private equity fund.Did Yuan most likely violate the CFA Institute Code of Ethics and Standards of Professional Conduct？

A.Yes, because the decision against IPS

B.No, because the beneficiary is Jack.

C.No, because the private equity has a good return.

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第6题

A U.S. institutional money manager prefers to invest in depository instruments of non-domestic equity securities that are privately placed in the U.S. and not subject to the foreign ownership and capi

A、Global registered shares.

B、Global depository receipts

C、American depository shares.

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第7题

Carlos Cruz, CFA, is one of two founders of an equity hedge fund. Cruz manages the fun

d’s assets, and the other co-founder, Brian Burkeman, CFA, is responsible for fund sales and marketing. Cruz notices the most recent sales material used by Burkeman indicates assets under management are listed at a higher value than the current market value. Burkeman justifies the discrepancy by stating recent market declines account for the difference. In order to comply with the CFA Institute Standards of Professional Conduct, Cruz should least likely take which of the following actions？

A. Correct the asset information and provide updates to prospective clients.

B. Report the discrepancy to CFA Institute’s Professional Conduct Program.

C. Provide a disclaimer within marketing material indicating prices are as of a specific date.

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