Which of the following actions is most likely a violation of the Standard on fair dealing？
A portfolio manager allocates IPO shares to all client accounts,including her brothers fee-based retirement account.
B. An investment firm routinely begins trading for its own account immediately after announcing recommendation changes to clients.
C. After releasing a general recommendation to all clients,an analyst calls the firms largest institutional clients to discuss the recommendation in more detail.
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An investment management firm, Investco, Inc., was recently audited by the United States Securities and Exchange Commission （SEC）. Investco included the following statement in its performance presenta
A. No,only one party may perform GIPS verification.
B. No,neither party involved in the audit constitutes an acceptable GIPS verification.
C. Yes,because an audit was performed implicitly by the SEC and explicitly by the firms audit team.
Cobb, Inc., has hired Jude Kasten, CFA, to manage its pension fund. The client（s） to whom Kasten owes a duty of loyalty are:
A. Cobbs management.
B. The shareholders of Cobb,Inc
C. The beneficiaries of the pension fund.
After writing the CFA Level I exam, Cynthia White goes to internet discussion site CFA Haven to express her frustration. White writes, "CFA Institute is not doing a competent job of evaluating ca
A. Publicly disputing CFA Institute policies and procedures.
B. Disclosing subject matter covered or not covered on a CFA exam.
C. Participating in an internet forum that is directed toward CFA Program participants.
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.
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