Andrew Li, CFA, was recently promoted to senior portfolio manager. In her new position, Andrew is required to supervise three portfolio managers. Andrew asks for a copy of her firms written supervisor
A. Require that her firm adopt the CFA Institute Code of Ethics and Standards of Professional Conduct.
B. Require that the employees she supervises adopt the CFA Institute Code of Ethics and Standards of Professional Conduct.
C. Decline to accept supervisory responsibility until her firm adopts procedures to allow her to adequately exercise such responsibility.
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Yao Tsang, CFA has a large percentage of his net worth invested in the Australian mining company, Outback Mines, which he has held for many years. Tsang is in the process of moving to a new employer w
A. Disclose his stock holding to his employer and to clients.
B. Sell his stock holdings to eliminate any potential conflict of interest.
C. Refuse to write the report and ask his employer to assign another analyst to complete the analysis.
Which of the following statements about verification of compliance with the Global Investment Performance Standards （GIPS） is least accurate？
A. Verification is voluntary.
B. A new verification report may accept the previous verification report as part of the basis.
C. Verification report can be performed with specific composites.
Leng Bo, CFA is a bond portfolio manager for individual investors. Last year, a client whose portfolio is limited to investment-grade bonds approved Bos purchase of a below investment grade bond. Beca
A. Suitability
B. Communications with Clients
C. Independence and Objectivity
When Wes Smith first joined Advisors, Inc., he was excited that all the analysts at the firm had the CFA designation. In letters to prospective clients he states that this ensures that Advisors can pr
A. Not a violation.
B. A violation because he cannot guarantee better service.
C. A violation for both mentioning the CFA designation and saying the firm can guarantee better service.
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