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William Wong, CFA, is an equity analyst with Hayswick Securities. Based on his fundamental analysis, Wong concludes that the stock of a company he follows, Nolvec Inc., is substantially undervalued an

A. Duty to clients.
B. Reasonable basis.
C. Duty to his employer.

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All of the following are characteristics of a well functioning securities market except:

A. Internal information efficiency which can lead to variable transaction costs.
B. It would provide timely and accurate information and transaction data.
C. It would provide liquidity（marketability,price continuity,and depth）.

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Wang Gang, CFA, is a bank industry research analyst for a large broker and dealer firm. He is attending a company presentation for Mellon Bank with a small group of analysts from other companies. A co

A. Must refrain from discussing the information with anyone else.
B. May act on this information as it is no longer material,non-public information when public.
C. Should encourage the company that issued the information to make it public as soon as possible.

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Which of the following statements regarding the verification of a companys claim to be in compliance with the GIPS standards is not true？

An initial verification must cover a minimum period of five years.
B. A verifier may accept the work of a previous verifier as part of the basis opinion.
C. Verification reports must confirm that the firm has complied with all GIPS requirements on a firm-wide basis.

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According to the CFA Institute Standards of Professional Conduct, beneficial security ownership that might impair ones professional judgment must be disclosed to all of the following except:

A. Clients
B. Prospects
C. Fellow members employed by the same firm

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William Wong, CFA, is an equity analyst with Hayswick Securities. Based on his fundamental analysis, Wong concludes that the stock of a company he follows, Nolvec Inc., is substantially undervalued an

A. Duty to clients. B. Reasonable basis. C. Duty to his employer.

All of the following are characteristics of a well functioning securities market except:

Wang Gang, CFA, is a bank industry research analyst for a large broker and dealer firm. He is attending a company presentation for Mellon Bank with a small group of analysts from other companies. A co

Which of the following statements regarding the verification of a companys claim to be in compliance with the GIPS standards is not true？

According to the CFA Institute Standards of Professional Conduct, beneficial security ownership that might impair ones professional judgment must be disclosed to all of the following except:

A. Duty to clients.
B. Reasonable basis.
C. Duty to his employer.