题目内容

Tibor Figeczky, CFA, is an equity trader at Global Investment Bank (GB), Figeczky traded the banks investment portfolio profitably for the past three years and earned significant bonuses for his effor

A. Disclose the complaint to the CFA Institute.
B. Refuse further bonuses until the issue is resolved.
C. Request a temporary suspension of his CFA Institute membership.

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Christy Pasley, CFA, is the Chief Investment Officer for Risen Investment Funds (RIF) a mutual fund organization. At a meeting between Homeland Builders (HB), a publicly traded company, Pasley learns

A. Yes.
B. No,because the securities purchased were options.
C. No,because the information was obtained directly from the company.

In futures markets, contract performance is most likelyguaranteed by:

A. Clearing houses.
B. Regulatory agencies.
C. The futures exchanges.

A bond portfolio manager is considering three Bonds - A, B, and C - for his portfolio. Bond A allows the issuer to call the bond before stated maturity, Bond B allows the investor to put the bond back

A. Yes.
B. No,Bond As nominal yield spread should be less than Bond Cs.
C. No,Bond Bs nominal yield spread should be less than Bond Cs.

An equity fund manager is considering a market index as benchmark for his portfolio and he has the following preferences:
·the index should have a contrarian "effect";
·An equity fund manager is considering a market index as benchmark for his portfolio and he has the following preferences:
·the index should have a contrarian "effect";
·

A. Equal.
B. Fundamental.
C. Float-adjusted market-capitalization.

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