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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

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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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Sisse Brimberg, CFA is responsible for performance presentations at her investment firm. The presentation that Sisse uses states her firm:
1） deducts all fees and taxes;
2） uses actual and simSisse Brimberg, CFA is responsible for performance presentations at her investment firm. The presentation that Sisse uses states her firm:
1） deducts all fees and taxes;
2） uses actual and sim

A gross of fee basis
B. Actual not simulated results.
C. A weighted composite for all similar portfolios

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Colin Gifford, CFA is finalizing a monthly newsletter to his clients, who are primarily individual investors. Many of the clients accounts hold the common stock of Capricorn Technologies. In the newsl

A. Separate fact from opinion
B. Include earnings estimates
C. Identify limitations of the analysis

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If the volatility of returns of an underlying security increases, then:

A. Both call and put option prices increase.
Both call and put option prices decrease.
Call prices increase and put prices decrease.

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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

Colin Gifford, CFA is finalizing a monthly newsletter to his clients, who are primarily individual investors. Many of the clients accounts hold the common stock of Capricorn Technologies. In the newsl

If the volatility of returns of an underlying security increases, then:

A. Suitability
B. Communications with Clients
C. Independence and Objectivity