题目内容

In situations where the laws of a member or candidates country of residence, the local laws of regions where the member or candidate does business, and the Code and Standards specify different require

A. Local law or the Code and Standards,whichever is stricter.
B. The Code and Standards or his countrys laws,whichever are stricter.
C. The strictest of local law,his countrys laws,or the Code and Standards.

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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.

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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.

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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.

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In situations where the laws of a member or candidates country of residence, the local laws of regions where the member or candidate does business, and the Code and Standards specify different require

A. Local law or the Code and Standards,whichever is stricter. B. The Code and Standards or his countrys laws,whichever are stricter. C. The strictest of local law,his countrys laws,or the Code and Standards.

According to the Standard on independence and objectivity, members and candidates:

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

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

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. Local law or the Code and Standards,whichever is stricter.
B. The Code and Standards or his countrys laws,whichever are stricter.
C. The strictest of local law,his countrys laws,or the Code and Standards.