Beth Anderson, CFA, is a portfolio manager for several wealthy clients including Reuben Carlyle. Anderson manages Carlyles personal portfolio of stock and bond investments. Carlyle recently told Ander
A. Violated the Code and Standards by failing to maintain the confidentiality of her clients information.
B. Violated the Code and Standards by failing to detect and report the tax evasion to the proper authorities.
C. Not violated the Code and Standards since the information she conveyed pertained to illegal activities on the part of her client.
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Karen Jones, CFA, is an outside director for Valley Manufacturing. At a directors meeting, Jones finds out that Valley Corp. has made several contributions to foreign politicians that she suspects wer
A. Protest the boards actions in writing to the executive officer of Valley.
B. Resign from the board and seek legal counsel as to her legal disclosure requirements.
C. Inform her supervisor of her discovery and cease attending meetings until the matter is resolved.
Kate Wilson, CFA, is an equity analyst. Wilson enters two transactions for her personal account. Wilson sells 500 shares of Tibon, Inc., a stock on which her firm currently has a "Buy" recom
A. No.
B. Yes,both of her actions violate the Code and Standards.
C. Yes,but only one of her actions violates the Code and Standards.
Green Brothers, an emerging market fund manager, has two of its subsidiaries simultaneously buy and sell emerging market stocks．In its marketing literature, Green Brothers cites the overall emerging m
A. Did not violate the Code and Standards.
B. Violated the Standard regarding market manipulation.
C. Violated the Standard regarding performance presentation.
After passing all three levels of the CFA exams on her first attempts and being awarded her CFA Charter, Paula Osgood is promoting her new money management firm by issuing an advertisement. Which of t
A. "To earn the right to use the CFA designation,Paula passed three exams covering ethics,financial statement analysis,asset valuation,and portfolio management."
B. "Paula passed three 6-hour exams on her first attempts and is a member of her local investment analyst society."
C. "Because of her extensive training,Paula will be able to achieve better investment results than managers who have not been awarded the CFA designation."
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