题目内容

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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Monique Gretta, CFA, is a research analyst at East West Investment Bank. Previously, Gretta worked at a mutual fund management company and has a long-standing client relationship with the managers of

A. Her report is a draft.
B. This practice benefits all clients.
C. The long-standing client relationships are not disclosed.

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As a condition of his employment with an investment bank, Abasi Hasina, CFA, was required to sign an employment contract, including a non-compete clause restricting him from working for a competitor f

A. Yes
B. No,because the non-compete clause violates his human rights
C. No,because the non-compete clause is illegal in the new country of employment

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Which of the following statements is most accurate about the responsibilities of an auditor for a publicly traded firm in the United States？ The auditor:

Assures the reader that the financial statements are free from error,fraud,or illegal acts.
B. Must express an opinion about the effectiveness of the companys internal control systems.
C. Must state that he prepared the financial statements according to generally accepted accounting principles.

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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

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

Monique Gretta, CFA, is a research analyst at East West Investment Bank. Previously, Gretta worked at a mutual fund management company and has a long-standing client relationship with the managers of

As a condition of his employment with an investment bank, Abasi Hasina, CFA, was required to sign an employment contract, including a non-compete clause restricting him from working for a competitor f

Which of the following statements is most accurate about the responsibilities of an auditor for a publicly traded firm in the United States？ The auditor:

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