Steve Matthews, CFA, is a principal at Carlson Brothers, a leading regional investment bank specializing in initial public offerings of small to mid-sized biotech firms. Just before many of the IPOs a
Additional compensation
B. Disclosure of conflicts of interest
C. Fair dealing
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Zanuatu, an island nation, does not have any regulations precluding the use of nonpublic information. Alfredo Romero has a friend and fellow CFA charterholder there, Donna Gordon, with whom he has sha
A. Trade on the information under the laws of Zanuatu,which govern her behavior.
B. Not trade on the information under CFA Institute Standards,which govern her behavior.
C. Trade on the information under CFA Institute Standards since the firms concerned are outside Romeros industry.
Which of the following policies is required to comply with GIPS？
A. Compliance with GIPS must be verified by an independent third party.
B. Restructuring of the firms organization cannot be used as a basis to change the historical performance results of a composite.
C. The definition of the firm must include the firms offices in all countries and regions.
For a composite to be constructed in compliance with GIPS, the portfolios included in the composite must:
A. Have been managed by the firm for the full performance reporting period.
Be selected immediately after the last business day of the period for which the composites performance will be presented.
C. Include all fee-paying,discretionary portfolios that are managed according to the same strategy,mandate,or investment objective.
If a country has regulations in place that conflict with GIPS, firms that wish to claim GIPS compliance:
A. May not do so because GIPS do not permit exceptions or partial compliance.
B. Must establish a subsidiary in a location where local law does not conflict with GIPS.
C. Must comply with local regulations and disclose the nature of the conflict in the presentation.
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