When formulating an investment policy for a client, all of the following fall under the category of "investor constraints," except:
Answer(s): A
Risk tolerance is considered under "investor objectives," not "investor constraints."
When presenting the components of total return for a real estate portfolio, the recognition of income at ________ level, rather than at the operating level, is preferred.
Answer(s): D
This is recommended under the AIMR-PPS for presenting investment performance results.
The financial analyst is allowed to breach client confidentiality if the information concerns ________ activities that the client is engaged in.
Answer(s): E
Standard IV (B.5) states that "Members shall preserve the confidentiality of information communicated by clients, prospects, or employers concerning matters within the scope of the client -member relationship, unless the member receives information concerning illegal activities on the part of the client."
When complying with Standard IV (B.3) - Fair Dealing, there are certain points one should be sure to address when establishing compliance procedures. Which of the following points is NOT mentioned in the Standards of Practice Handbook?
Members have an obligation to ensure that their firms establish compliance procedures requiring all employees who disseminate investment recommendations or actions to treat clients fairly. The number of people privy to an investment recommendation should be limited. The amount of time that lapses between the decision and the dissemination of the recommendation should be shortened. Guidelines must be established to prohibit persons who have prior knowledge from discussing a pending recommendation. Trading activities should be monitored and controlled. Supervisors should review accounts on a regular basis to ensure that no client is being given preferential treatment.
According to the AIMR-PPS, performance results of a past firm or affiliation
Performance results of a past firm or affiliation must not be used to represent the historical record of a new affiliation or a new firm entity. This is a requirement for presentation of results.
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