题目内容（请给出正确答案）

[主观题]

James Woods, CFA, is a portfolio manager at ABC Securities. Woods has reasonable grounds to believe his colleague, Sandra Clarke, a CFA Level ⅠI candidate, is engaged in unethical trading activities t

A、Report Sandra Clarke to ABCs trading supervisor or compliance department.

B、Not take any action because he is not directly involved

C、Report Sandra Clarke to the appropriate governmental or regulatory organization

查看答案

如搜索结果不匹配，请联系老师获取答案

您可能会需要：

重置密码查看订单联系客服

安装上学吧APP，拍照搜题省时又省心！

更多“James Woods, CFA, is a portfol…”相关的问题

第1题

Samantha Donovan, CFA, is an exam proctor for the Level II CFA exam. The day before the exam is to be administered, Donovan faxes a copy of one of the questions to two friends, James Smythe and Lynn Y

A、Smythe violated the Code and Standards,but Yeats did not.

B、Donovan violated the Code and Standards,but Smythe did not.

C、Donovan and Yeats both violated the Code and Standards.

点击查看答案

第2题

James Simone, CFA, the CFO of a publicly listed company, seeks to improve the quality of his companys communication with institutional fund managers. He holds an investor briefing with this group the

A、Yes

B、No,because investor briefing and press release information are identical

C、No,because the company releases information while the market is closed

点击查看答案

第3题

James Simone, CFA, the chief financial officer of a publicly listed company, seeks to improve the quality of his companys communication with institutional fund managers. He holds an investor briefing

A、Yes

B、No,because the company releases information while the market is closed

C、No,because investor briefing and press release information are identical

点击查看答案

第4题

Question 10James Copley, a pension fund manager and a CFA charterholder, has an agreement

Question 10

James Copley, a pension fund manager and a CFA charterholder, has an agreement with a brokerage firm to give him lower transactions costs on his personal brokerage in exchange for directing the pension fund’s trades to the brokerage firm. Copley is most likely violating which of the following Standards？

A.Standard Ⅲ(A), Loyalty, Prudence, and Care.

B.Standard Ⅲ(B), Fair Dealing.

C.Standard V(A), Diligence and Reasonable Basis.

D.Standard V(B), Communication with Clients and Prospective Clients.

点击查看答案

第5题

Question 10

A.Standard Ⅲ(A), Loyalty, Prudence, and Care.

B.Standard Ⅲ(B), Fair Dealing.

C.Standard V(A), Diligence and Reasonable Basis.

D.Standard V(B), Communication with Clients and Prospective Clients.

点击查看答案

第6题

From: Brian West<bwest@imail.com>

To: James Woods<customerservice@srphone.com>

Re: Mobile Phone Service

Date: December 20

Dear Mr. Woods,

I am writing to let you know that there seems to be a problem with my most recent mobile phone bill. Since signing the contract on June 1st, I have been paying $65 every month. However, the bill in November was for $80.

When I purchased my mobile phone at your store, I still remember that the contract provides for a fixed-rate service. Based on what I owed from June to October, it would seem that I was overcharged by $15. Please let me know if there was a change to the terms and conditions of the contract. I would appreciate it if you could look into the matter.

Brian West

What is the purpose of the e-mail?

A.To purchase a new mobile phone.

B.To announce change in service plan.

C.To request a review of information.

D.To change terms of service.

点击查看答案

第7题

Melvin Byrne, CFA, manages a portfolio for James Martin, a wealthy client. Martins portfolio is well diversified with a slight tilt toward capital appreciation. Martin requires very little income from

A、Violated the Code and Standards by knowingly creating a conflict of interest between Jamess and Cliffs portfolios.

B、Violated the Code and Standards by failing to determine Cliffs objectives and constraints prior to investing his portfolio.

C、Did not violate the Code and Standards.

点击查看答案

第8题

From: Brian West＜bwest@imail.com＞ To: James Woods＜customerservice@srphone.com>

From: Brian West＜bwest@imail.com＞ To: James Woods＜customerservice@srphone.com＞ Re: Mobile Phone Service Date: December 20 Dear Mr. Woods, I am writing to let you know that there seems to be a problem with my most recent mobile phone bill. Since signing the contract on June 1st, I have been paying $65 every month. However, the bill in November was for $80. When I purchased my mobile phone at your store, I still remember that the contract provides for a fixed-rate service. Based on what I owed from June to October, it would seem that I was overcharged by $15. Please let me know if there was a change to the terms and conditions of the contract. I would appreciate it if you could look into the matter. Brian West

What is the purpose of the e-mail？

A．To purchase a new mobile phone.

B．To announce change in service plan.

C．To request a review of information.

D．To change terms of service.

点击查看答案

第9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.

点击查看答案

第10题

Question 1

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.

点击查看答案