Standard III (A) is ________.
Answer(s): C
Standard III (A) deals with the Obligation to Inform Employer of Code and Standards. Standard III (B) deals with the Duty to Employer. Standard III (C) deals with Disclosure of Conflicts to Employer. Standard III (D) deals with Disclosure of Additional Compensation Arrangements. Standard III (E) deals with Responsibilities of Supervisors.
Performance (relating to Performance Presentation Standards) is the record of the ________.
Answer(s): E
To be in compliance with the PPS, a firm's presentation of performance must comply on a firmwide basis and must consist of 10 years of performance (or records since the date of inception if the firm is younger than 10 years).
Which of the following can be found in Standard IV?
Standard IV states: "Members shall maintain appropriate records to support the reasonableness of recommendations or actions."
Carve-outs may not be combined with ________ portfolios.
Stand-alone composites from subsectors or carve-outs of larger international portfolios can be created only if the subsectors are actually being managed as separate entities with their own cash allocations and currency management - for example, a series of currency funds.
Liliana works for Bear Funds, a brokerage firm. Bear has a policy of not allowing its employees to trade in securities in which it has large holdings. A list of such securities is circulated on a daily basis to the employees. Liliana knows of this restriction. However, a few days ago, she happened to purchase a few shares of a firm that are on Bear's restricted list. The total value of the purchase was less than $500. Liliana should
Answer(s): B
Standard III (C) - Disclosure of Conflicts to Employer.
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