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

Marysa Chen, CFA, works for JanMc Investment Management. All personal investments by JanMc employees must receive prior clearance in accordance with JanMc's compliance procedures. To obtain prior clearance, JanMc employees must provide a written request identifying the security, the quantity of the security to be purchased, and the name of the broker through which the transaction will be made. As indicated below, Marysa received prior clearance.

Two days after she received prior clearance, the price of Stock B had decreased 50. Marysa decided to purchase 250 shares of Stock B only. In her decision to purchase 250 shares of Stock B only, did Marysa violate any CFA Institute Standards of Professional Conduct?

A.Yes,relating to independence and objectivity.

B.Yes,relating to her fiduciary duty to her employer.

C.Yes,relating to her employer's compliance procedures

参考答案与解析：

相关试题

Sally Albright, CFA, works full time for Frank & Company, an investment management firm, as a fi

[单选题]Sally Albright, CFA, works full time for Frank & Company, an investment man

  • 查看答案

    • Tamlorn Mager, CFA, is an analyst at Pyallup Portfolio Management. CFA Institute recently notifiedMa

    [单选题]Tamlorn Mager, CFA, is an analyst at Pyallup Portfolio Management. CFA Inst

  • 查看答案

    • Tamlorn Mager, CFA, is an analyst at Pyallup Portfolio Management. CFA Institute recently notified M

    [单选题]Tamlorn Mager, CFA, is an analyst at Pyallup Portfolio Management. CFA Inst

  • 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

    • Solomon Sulzberg, CFA, is a research analyst at Blue Water Management. Sulzberg's recommendatio

    [单选题]Solomon Sulzberg, CFA, is a research analyst at Blue Water Management. Sulz

  • 查看答案

    • Solomon Sulzberg, CFA, is a research analyst at Blue Water Management. Sulzberg's recommendatio

    [单选题]Solomon Sulzberg, CFA, is a research analyst at Blue Water Management. Sulz

  • 查看答案

    • Heidi Halvorson, CFA, is the chief investment officer for Tukwila Investors, an asset management fir

    [单选题]Heidi Halvorson, CFA, is the chief investment officer for Tukwila Investors

  • 查看答案

    • Richard Cardinal, CFA, is the founder of Volcano Capital Research, an investment management firm who

    [单选题]Richard Cardinal, CFA, is the founder of Volcano Capital Research, an inves

  • 查看答案

    • Connie Fletcher, CFA, works for a small money management firm that specializes in pension accounts.

    [单选题]Connie Fletcher, CFA, works for a small money management firm that speciali

  • 查看答案

    • Marysa Chen, CFA, works for JanMc Investment Management. All personal investments by JanMc employees