题目内容

Ileana Inkster, CFA, was recently offered a senior management position within the trust department at a regional bank. The department is new, but the bank has plans to expand it significantly over the

A. Decline to accept the new position
B. Accept the position and revise the marketing material
C. Accept the position and inform senior management of inadequate compliance procedures

查看答案

搜索结果不匹配？点我反馈

更多问题

According to the industry life-cycle model, an industry in the shakeout stage is best characterized as experiencing:

A. Slowing growth and intense competition.
B. Little or no growth and industry consolidation.
C. Relatively high barriers to entry and periodic price wars.

查看答案

Johannes Meir, CFA, is a compliance officer for Family Estate Planning, LLC, a private-wealth consulting firm. Many of his colleagues have family members who have started their own retail businesses.

A. Prohibit employees from becoming directors or advisors
B. Require employees to declare all income sources annually
C. Require employees to declare all outside business interests

查看答案

Kam Bergeron, CFA, is an equity portfolio manager who often takes time off in the afternoon to play golf with important clients. Today, Bergeron is on the golf course when his game is interrupted by a

A. Suitability
B. Priority of transactions
C. Diligence and reasonable basis

查看答案

Monique Gretta, CFA, is a research analyst at East West Investment Bank. Previously, Gretta worked at a mutual fund management company and has a long-standing client relationship with the managers of

A. Her report is a draft.
B. This practice benefits all clients.
C. The long-standing client relationships are not disclosed.

查看答案

Ileana Inkster, CFA, was recently offered a senior management position within the trust department at a regional bank. The department is new, but the bank has plans to expand it significantly over the

A. Decline to accept the new position B. Accept the position and revise the marketing material C. Accept the position and inform senior management of inadequate compliance procedures

According to the industry life-cycle model, an industry in the shakeout stage is best characterized as experiencing:

Johannes Meir, CFA, is a compliance officer for Family Estate Planning, LLC, a private-wealth consulting firm. Many of his colleagues have family members who have started their own retail businesses.

Kam Bergeron, CFA, is an equity portfolio manager who often takes time off in the afternoon to play golf with important clients. Today, Bergeron is on the golf course when his game is interrupted by a

Monique Gretta, CFA, is a research analyst at East West Investment Bank. Previously, Gretta worked at a mutual fund management company and has a long-standing client relationship with the managers of

A. Decline to accept the new position
B. Accept the position and revise the marketing material
C. Accept the position and inform senior management of inadequate compliance procedures