[单选题]

Wouter Duyck, CFA, is the sole proprietor of an investment advisory firm serving several hundred middle-class retail clients. Duyck claims to be different from his competitors because he conducts research himself. He discloses that to simplify the management of all these accounts, he has created a recommended list of stocks from which he selects investments for all of his clients based on their suitability. Duyck's recommended list of stocks is obtained from his primary broker, who has completed due diligence on each stock. Duyck's recommended list least likely violates which of the following CFA Institute Standards of Professional Conduct?

A.Diligence and Reasonable Basis

B.Fair Dealing

C.Misrepresentation

参考答案与解析:

相关试题

Wouter Duyck, CFA, is the sole proprietor of an investment advisory firm serving several hundred mid

[单选题]Wouter Duyck, CFA, is the sole proprietor of an investment advisory firm se

  • 查看答案
  • Wang Dazong, CFA, is a sole proprietor investment advisor. Dazong believes in putting his money at r

    [单选题]Wang Dazong, CFA, is a sole proprietor investment advisor. Dazong believes

  • 查看答案
  • Robert Miguel, CFA, is a portfolio manager for a large investment advisory firm. In appreciation of

    [单选题]Robert Miguel, CFA, is a portfolio manager for a large investment advisory

  • 查看答案
  • Kim Klausner, CFA, monitors several hundred employees as head of compliance for a large investment a

    [单选题]Kim Klausner, CFA, monitors several hundred employees as head of compliance

  • 查看答案
  • Kim Klausner, CFA, monitors several hundred employees as head of compliance for a large investment a

    [单选题]Kim Klausner, CFA, monitors several hundred employees as head of compliance

  • 查看答案
  • Pia Nilsson is a sole proprietor investment advisor. The economic recession has reduced the number o

    [单选题]Pia Nilsson is a sole proprietor investment advisor. The economic recession

  • 查看答案
  • Bryan Barrett, CFA has an investment advisory service providing advice on gold and other commodities

    [单选题]Bryan Barrett, CFA has an investment advisory service providing advice on g

  • 查看答案
  • Theresa Hatcher, CFA, is making arrangements to establish her own investment advisory business befor

    [单选题]Theresa Hatcher, CFA, is making arrangements to establish her own investmen

  • 查看答案
  • Tom Wu, CFA, is the owner and sole employee of two companies, a public relations firm and a financia

    [单选题]Tom Wu, CFA, is the owner and sole employee of two companies, a public rela

  • 查看答案
  • Several years ago, Simon Ma, CFA, founded an investment club with three friends. The investment club

    [单选题]Several years ago, Simon Ma, CFA, founded an investment club with three fri

  • 查看答案
  • Wouter Duyck, CFA, is the sole proprietor of an investment advisory firm serving several hundred mid