Which of the following can be found in Standard V?
Answer(s): C
Standard V details: "Prohibition against use of material nonpublic information. If members receive material nonpublic information in confidence, they shall not breach that confidence by trading or causing others to trade in securities to which such information relates."
Arvantis works for Quick-time Brokerage. He has not been happy with his employment for some time and recently decided to start his own hedge fund. He started making administrative preparations for setting up the fund while still working for Quick-time Brokerage. He also made contact with a few of his oldest clients and gave them details about his hedge fund. The clients promised to switch accounts once the fund was initiated.Arvantis has:
Answer(s): B
Standard III (B) - Duty to Employer - does not preclude a departing employee from making arrangements to enter independent practice prior to leaving current employment, as long as such preparations do not constitute a breach of loyalty toward the employer. However, undertaking any activity that harms the current employer is a violation of III (B).
To fulfill the duty to inform their employer that they must follow AIMR's Code and Standard, members must:
Answer(s): A
This question relates to a member's duty to inform his/her employer of the Code and Standards. The proper method to do so is in writing and through the member's direct supervisor.
With regard to international portfolios, if net performance is indicated, managers are required to disclose the assumed ________ for the benchmark.
To be in compliance with the AIMR-PPS, the performance presentation for international portfolios must disclose whether composites and benchmarks are presented gross or net of withholding taxes on dividends, interest and capital gains; if net, the assumed tax rate for both the composite and the benchmark.
Investments-R-Us is a growing investment advisory firm, which recently hired 5 CFA charter-holders for senior management positions. In an advertisement, the firm promised clients excellent client service and timely investment advice. To bolster this motto, all 5 CFA charter-holders were praised in the advertisement for their commitment, professionalism and high intelligence displayed in passing the CFA program in 3 straight attempts. IRU has
Implications that CFA Charter-holders who pass their exams in the first attempt can generate superior results or display a higher level of intelligence are considered inappropriate by Standard II (A) of the AIMR Code of Ethics.
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