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Country X requires firms to present performance information using only realized returns, while the GIPS standards require calculations to be based on both realized and unrealized returns. A firm locat

A. Cannot claim compliance with GIPS unless it fully meets all GIPS requirements.
B. Should follow the countrys guidelines,and is allowed to claim compliance with GIPS as long as all other GIPS requirements are met.
C. Should follow the countrys guidelines,and is allowed to claim compliance with GIPS as long as disclosure is made regarding the conflict.

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Wu Yang, CFA, manages individual portfolios for Far East Trust Company. Hu Haiyun, a client, proposes to Wu Yang, “Any year my portfolio achieves at least a 20 percent return before tax, you and your

A. Fair dealing
B. Disclosure of conflicts
C. Priority of transactions

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Win Jang is his firms research director, and one of his regular duties is to distribute a monthly “Top 10 Buys and Sells” list drawn from companies listed in Hong Kong. One month, Jang reads an academ

A. Properly relied on another partys research.
B. Failed to have a reasonable basis for his investment recommendations,due to differences in the German and Hong Kong markets.
C. Failed to have a reasonable basis for his investment recommendations,due to the reliance on a quantitative model.

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The demand for a given resource will most likely decrease if the prices of its substitute resources and complementary resources, respectively:
Prices of substitute resources Price of complementaryThe demand for a given resource will most likely decrease if the prices of its substitute resources and complementary resources, respectively:
Prices of substitute resources Price of complementary

A. Increase Increase
B. Increase Decrease
C. Decrease Increase

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Patricia Nelson, CFA, was informed by one of her clients that if Nelson could get the performance of the client firms pension portfolio above that of the Standard & Poors average by year end, the

A. Must inform her employer of this agreement but does not need consent.
B. May inform her employer by e-mail of this agreement and must receive written consent.
C. Must inform her employer of this agreement but may accept it with verbal consent.

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