Green Brothers, an emerging market fund manager, has two of its subsidiaries simultaneously buy and sell emerging market stocks．In its marketing literature, Green Brothers cites the overall emerging m
A. Did not violate the Code and Standards.
B. Violated the Standard regarding market manipulation.
C. Violated the Standard regarding performance presentation.
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After passing all three levels of the CFA exams on her first attempts and being awarded her CFA Charter, Paula Osgood is promoting her new money management firm by issuing an advertisement. Which of t
A. "To earn the right to use the CFA designation,Paula passed three exams covering ethics,financial statement analysis,asset valuation,and portfolio management."
B. "Paula passed three 6-hour exams on her first attempts and is a member of her local investment analyst society."
C. "Because of her extensive training,Paula will be able to achieve better investment results than managers who have not been awarded the CFA designation."
Claire Marlin, CFA, manages an investment fund specializing in foreign currency trading. Marlin writes a report to investors that describes the basic characteristics of her strategy, which is based on
A. Yes.
B. No,because she disclosed the basic characteristics of the investment.
C. No,because she distinguished fact from opinion and discussed how the strategy may perform under a range of scenarios.
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.
Ed Ingus, CFA, visits the headquarters and main plant of Bullitt Company and observes that inventories of unsold goods appear unusually large. From the CFO, he learns that a recent increase in returne
A. Yes.
B. No,because the information he used is not material.
C. No,because his actions are consistent with the mosaic theory.
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