Which of the following is/are required by AIMR-PPS with regards to creation and maintenance of composites?
Answer(s): D
All actual fee-paying discretionary portfolios must be included in at least one composite based on similar investment strategy. Segregation of these accounts is not required. (II) and (III) are true.
Standard II (B) - Professional Misconduct, states which of the following is a violation?
Standard II (B) addresses personal integrity and prohibits individual behavior that reflects adversely on the entire profession. Intoxicated behavior falls under Standard II (B) because it reflects poorly on the member, his employer and the investment industry. Plagiarizing of material falls under Standard II (C) - Prohibition against Plagiarism.
Section A - "Creation and Maintenance of Composites" - of the PPS requires that convertible and hybrid securities be treated consistently across all composites.
Standard III includes which of the following?
Answer(s): C
Standard III deals with Obligation to Inform Employer of Code and Standards, Duty to Employer, Disclosure of Conflicts to Employer, Disclosure of Additional Compensation Arrangements and Responsibilities of Supervisors.
A(n) ________ is someone who has knowledge of pending or actual investment recommendations or action.
Answer(s): A
Access or covered persons have knowledge of pending or actual investment recommendations or action. The firm's definition of access (covered) person should be broad enough to cover all people with that knowledge.
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