1：Husband/wife... both working in finance jobs. They routinely discuss possilibility of clients entering mergers, etc.
Has they violated Standard of confidentiality(Yes/No) and Standard of Material non-public information(Yes/No)? 我的答案是YES, NO, 因为没有操作。。。 2： Which of the following is not one of the eight major section on GIPS standards?
choices: Hedge Fund, Private equity, mutual fund 这个好像不是 NOT ONE OF 吧，应该是ONE OF 吧？ 答案很清楚。 3：Questions on content in fundmanetals of compliance? A firm is existed for 12 years, accrording to GIPS, the firm need minimum compliance records: choices: .3 years, 5 years, 10 years, 12 years 我的答案是5年，有人说10年 4：Which of the following is likely to violated Market Manipiulation for buying and immediately selling to have tax benefit(Yes/No) and using Legitimate trading strategy to exploit market inefficiency(Yes/No) 我选的是NO ，YES 5：A member put CFA logo on his individual letterhead or business card. In order to prevent CFA is incorporated into company name, he doesn't place in such close proximity to a company name and put at the bottom of the card. Has he violated Standard VII(B) for his individual letterhead or business card? (Yes/No) 这道我肯定错了不过国外的论坛讨论也有争议，不过集中在YES YES 和 NO NO 上 6："The CFA program helped to enhance my portfolio skills" violates Standard of misrepresentation(Yes/No)and standard VII(B) (Yes/No)? Ans: No, No （同意） Stat: | 
发表于 2008-6-11 11:10
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