题目内容

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.

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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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Sarah Johnson, a portfolio manager, is offered a bonus directly by a client if Johnson meets certain performance goals. To comply with the Standard that governs additional compensation arrangements, J

A. Decline to accept a bonus outside of her compensation from her employer.
B. Disclose this arrangement to her employer in writing and obtain her employers permission.
C. Disclose this arrangement to her employer only if she actually meets the performance goals and receives the bonus.

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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.

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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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