Based on AIMR’s Standards of Professional Conduct, which of the following statements are a violation of Standard IV（B.6), Prohibition against Misrepresentation？
A young trainee bond trader tells a prospective client that she can assist the client in all the client’s investment needs: equity, fixed income, and derivatives and based on her years of experience as an analyst in the business that an investment looks like it has lots of potential.
B. All of these.
C. An investment manager recommends to a prospective client, an investment in mortgage IO strips because they are guaranteed by an agency of the federal government.
D. A broker says XYZ stock is 100% guaranteed to double in value over the next six months.
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某社区养老服务中心由10名专业社工工作者和2名护士组成，中心负责人老李为更好地管理中心事务，采用民主型的领导方式。下列老李的做法中，最能体现其领导方式的是（)。
A. 凭借个人的威信建议下属灵活选择工作程序和方法
B. 凭借个人的权力指挥下属安排好工作程序和方法
C. 运用工作职权要求下属执行既定的工作程序和方法
D. 放弃工作职权让下属自行安排工作程序和方法
Yuan, CFA, is chief investment officer of Golden Securities. Recently, Yuan found that their company’s promotional materials for marketing activities had a mistake. The value of their management asset list on the material was higher than their current actual market value. Yuan realized the reason might be recent market volatility. Which of the following actions is most accurate to comply with the CFA Institute Code and Standard.
A. Do nothing, because the day material made, the value was correct.
B. Correct the asset value and add a footnote indicating the day that the value calculated.
C. Report the mistake to government regulators.
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