当前位置： 找题吧 >  CFA特许金融分析师 CFA考试LevelⅠ
[单选题]

Doug Watson, CFA, serves in a sales position at Sommerset Brokerage, a registered investment adviser. As part of his employment, he is expected to entertain clients. Frequently at these client outings, Watson drinks excessively. On one occasion, after dropping off a client, Watson was cited by local police for misdemeanor public intoxication. According to the Standard on knowledge of the law and the Standard on misconduct, Watson is in violation of:

A.Both of these Standards.

B.Neither of these Standards.

C.Only one of these Standards.

参考答案与解析：

相关试题

Matt Jacobs, CFA, is an investment adviser to several university endowment funds. Jacobs previously

[单选题]Matt Jacobs, CFA, is an investment adviser to several university endowment

  • 查看答案

    • Ron Dunder, CFA, is the CIO for Bling Trust (BT), an investment adviser. Dunder recently assigned on

    [单选题]Ron Dunder, CFA, is the CIO for Bling Trust (BT), an investment adviser. Du

  • 查看答案

    • Oliver Rae, CFA, is an individual investment adviser specializing in commercial real estate. Rae rec

    [单选题]Oliver Rae, CFA, is an individual investment adviser specializing in commer

  • 查看答案

    • Ralph Malone, CFA, is an investment adviser at a multinational finance corporation. He has many weal

    [单选题]Ralph Malone, CFA, is an investment adviser at a multinational finance corp

  • 查看答案

    • Kelly Amadon, CFA, an investment adviser, has two clients: Ryan Randolf,65 years old, and Keiko Kita

    [单选题]Kelly Amadon, CFA, an investment adviser, has two clients: Ryan Randolf,65

  • 查看答案

    • Antonio Mendoza, CFA, is an investment manager in private practice under the name Mendoza Investment

    [单选题]Antonio Mendoza, CFA, is an investment manager in private practice under th

  • 查看答案

    • Jin Jin, CFA, is the president of the Registered Option Exchange, which is preparing to launch a new

    [单选题]Jin Jin, CFA, is the president of the Registered Option Exchange, which is

  • 查看答案

    • Christy Pasley, CFA, is the Chief Investment Officer for Risen Investment Funds (RIF) a mutual fund

    [单选题]Christy Pasley, CFA, is the Chief Investment Officer for Risen Investment F

  • 查看答案

    • Colin Caldwell, CFA, is the chief investment officer of Northwest Mutual Fund, whose investment obje

    [单选题]Colin Caldwell, CFA, is the chief investment officer of Northwest Mutual Fu

  • 查看答案

    • Neiman Investment Co. receives brokerage business from Pick Asset Management in exchange for referri

    [单选题]Neiman Investment Co. receives brokerage business from Pick Asset Managemen

  • 查看答案

    • Doug Watson, CFA, serves in a sales position at Sommerset Brokerage, a registered investment adviser