According to the Standard on independence and objectivity, members and candidates:
A. May accept gifts or bonuses from clients.
B. May not accept compensation from an issuer of securities in return for producing research on those securities.
C. Should consider credit ratings issued by recognized agencies to be objective measures of credit quality.
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A research report states: "Based on the fact that the South American utilities sector has seen rapid growth in new service orders, we expect that most companies in the sector will be able to conv
A. Has not violated the Code and Standards.
B. Violated the Code and Standards by failing to properly distinguish factual information from opinions.
C. Violated the Code and Standards by failing to properly identify details related to the operations of South American utilities.
Robert Blair, CFA, Director of Research, has had an ongoing battle with his firms management about the adequacy of its compliance system. Blair believes the firms compliance procedures are inadequate
A. Resign from the firm unless the compliance system is strengthened and followed.
B. Send his superior a memo outlining the problem.
C. Decline in writing to continue to accept supervisory responsibility until reasonable compliance procedures are adopted.
Connie Fletcher, CFA, works for a small money management firm that specializes in pension accounts. Recently, a friend asked her to act as an unpaid volunteer manager for the citys street sweep pensio
A. Do nothing because this is a volunteer position.
B. Inform her current clients in writing and discuss the offer with her employer.
C. Disclose the details of the volunteer position to her employer and obtain written permission from her employer.
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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