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James Simone, CFA, the CFO of a publicly listed company, seeks to improve the quality of his companys communication with institutional fund managers. He holds an investor briefing with this group the

A. Yes
B. No,because investor briefing and press release information are identical
C. No,because the company releases information while the market is closed

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Ileana Inkster, CFA, was recently offered a senior management position within the trust department at a regional bank. The department is new, but the bank has plans to expand it significantly over the

A. Decline to accept the new position
B. Accept the position and revise the marketing material
C. Accept the position and inform senior management of inadequate compliance procedures

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According to the industry life-cycle model, an industry in the shakeout stage is best characterized as experiencing:

A. Slowing growth and intense competition.
B. Little or no growth and industry consolidation.
C. Relatively high barriers to entry and periodic price wars.

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Johannes Meir, CFA, is a compliance officer for Family Estate Planning, LLC, a private-wealth consulting firm. Many of his colleagues have family members who have started their own retail businesses.

A. Prohibit employees from becoming directors or advisors
B. Require employees to declare all income sources annually
C. Require employees to declare all outside business interests

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Kam Bergeron, CFA, is an equity portfolio manager who often takes time off in the afternoon to play golf with important clients. Today, Bergeron is on the golf course when his game is interrupted by a

A. Suitability
B. Priority of transactions
C. Diligence and reasonable basis

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James Simone, CFA, the CFO of a publicly listed company, seeks to improve the quality of his companys communication with institutional fund managers. He holds an investor briefing with this group the

A. Yes B. No,because investor briefing and press release information are identical C. No,because the company releases information while the market is closed

Ileana Inkster, CFA, was recently offered a senior management position within the trust department at a regional bank. The department is new, but the bank has plans to expand it significantly over the

According to the industry life-cycle model, an industry in the shakeout stage is best characterized as experiencing:

Johannes Meir, CFA, is a compliance officer for Family Estate Planning, LLC, a private-wealth consulting firm. Many of his colleagues have family members who have started their own retail businesses.

Kam Bergeron, CFA, is an equity portfolio manager who often takes time off in the afternoon to play golf with important clients. Today, Bergeron is on the golf course when his game is interrupted by a

A. Yes
B. No,because investor briefing and press release information are identical
C. No,because the company releases information while the market is closed