Standard IV of the Standards of Professional Conduct deals with Relationships with and Responsibilities to ________.
Answer(s): B
Standard IV of the Standards of Professional Conduct deals with Relationships with and Responsibilities to Clients and Prospects.
Each of the following is true regarding Standard II (A), except:
Answer(s): C
Standard II (A) relates to the responsibility of AIMR members and candidates to use their professional designation properly and in a non-misleading manner. A person must be registered to take the next scheduled CFA exam to be a "candidate" in the CFA program. There is no designation for someone who has passed Level I, II, or III of the CFA exam. Candidates may state, however, that they have completed Level I, II, or III.The standard applies to all related explanations or descriptions of the CFA designation, including letterheads and business cards, resumes, directory listings, printed advertising, brochures and oral statements to clients and prospects.
Standard ________ pertains to fair dealing with customers and clients.
Standard IV (B.3) states: "Members shall deal fairly and objectively with all clients and prospects when disseminating investment recommendations, disseminating material changes in prior investment recommendations and taking investment action."
Social investments:
In a pension plan, the first and foremost duty of the fiduciary is to the plan participants and their beneficiaries rather than to the plan sponsor that has the power to hire and fire the investment manager. Consequently, if urged to make investments that might be of direct benefit to a sponsoring community or to the community at large, the manager must ensure that such investments are legal and do not impair the integrity of the funds in question or the financial security of the participants/beneficiaries.
Which of the following are considered basic characteristics of a security and must be included in research reports?
Answer(s): E
Members should include the following information in research reports:- expected annual rate of return- annual amount of income expected (current and future)- current rate of income return of yield to maturity- degree of uncertainty associated with cash flows- degree of marketability/liquidity- business, financial, political, sovereign and market risks
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