题目内容

Belen Zapata, CFA, is the owner of Kawah Investments. Kawah promises investors returns of up to 12% per year and claims to achieve this by investing in non-investment-grade bonds and other fixed incom

A. Return of capital.
B. Promised returns.
C. Investment mandate.

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When purchasing a futures contract, the initial margin requirement refers to the:

A. Minimum account balance required as prices change.
B. Performance bond ensuring fulfillment of the obligation.
C. Amount needed to finance the purchase of the underlying asset.

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Chan Liu, CFA, is the new research manager at the Pacific MicroCap Fund. Liu observed the following activities after she published a research report on a thinly traded microcap stock that included a &

A. Report the observed activities to her employer.
B. Remove her name from the microcap stock research report.
C. Publicly refute the false information posted on Internet forums.

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Arbitrage activity will most likely be higher in securities markets:

A. That are efficient.
B. With no restrictions on short selling.
C. With high information-acquisition costs.

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Who is most likely responsible for claiming and maintaining compliance with the CFA Institute Global Investment Performance Standards （GIPSY）？

A. Independent verification firms
B. The firm claiming compliance
C. The performance measurement department

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Belen Zapata, CFA, is the owner of Kawah Investments. Kawah promises investors returns of up to 12% per year and claims to achieve this by investing in non-investment-grade bonds and other fixed incom

A. Return of capital. B. Promised returns. C. Investment mandate.

When purchasing a futures contract, the initial margin requirement refers to the:

Chan Liu, CFA, is the new research manager at the Pacific MicroCap Fund. Liu observed the following activities after she published a research report on a thinly traded microcap stock that included a &

Arbitrage activity will most likely be higher in securities markets:

Who is most likely responsible for claiming and maintaining compliance with the CFA Institute Global Investment Performance Standards （GIPSY）？

A. Return of capital.
B. Promised returns.
C. Investment mandate.