注册金融分析师-注册金融分析师一级(下午)模拟12.docx

注册金融分析师-注册金融分析师一级(下午)模拟12.docx注册金融分析师一级(下午)模拟12AfternoonSession1TimothyHolt,CFAZisaportfoliomanagerfortheToroAggressiveGrowthFund,alargemutualfundwithanaggressive-,,HoltimmediatelyheadstohisofficeandsellsalltheSamuelCorporationstocksheldiiihisfund•HasHoltmostlikelyviolatedtheStandardsofProfessionalConduct?,,relatingbothtomaterialnonpublicinformationandpriorityoftransactions•2、 urate?eptinggiftsfromclientszCFAmembers:eptbusiness-relatedentertainment•eptmodestgiftsbelow$、 EmilieRome•CFA,,efromherpensionplanwithbelow-averagerisktolerance••However,Everettstillconfirmstheorder,?,•Yes,relatingtoloyalty,prudence,andcare-4、 mendationofafinancialservice•AccordingtotheStandardsofProfessionalConduct,beforeentryintoanyformalagreementfortheservice,thememberisrequiredtodisclosetotheiremployer,clientsandprospectiveclients:•boththenatureandtheestimateddollarvalueoftheconsideration•5、 WithrespecttotheStandardsofProfessionalConductrelatingtodiligenceandreasonablebasis,urate?Amemberneedsto:ensurethathisfirmhasstandardizedcriteriaforreviewingexternaladvisers•haveanunderstandingoftheparametersusedinthemodelorquantresearch•dissociatefromteamresearchreportsthatdonotreflectthemember1sopinion•6、 AccordingtothePracticeofHandbook,whenaninquiryintoamember1sprofessionalconductisinitiated/whichofthef