更多"A stockbroker who is a member of CF"的相关试题:
[单项选择]A money manager, who is a member of CFA Institute, suggests during phone calls to his clients that, "I hope you will relay to your friends the great returns I earned for you this past year. " The manager had generated above average returns in the past year. Is this a violation of Standard Ⅲ (D) , Performance Presentation（）
A. Yes, because the Standard forbids members asking their clients to say anything about how well the member has done.
B. No, because the request was made orally and not in writing.
C. Yes, because the intended message fails the test of completeness as required under the standard.
[单项选择]Any new staff member who has not already submitted a recent photo should go ______ to the Personnel Office, where a staff photographer is in attendance.
A. unexpectedly
B. immediately
C. especially
D. recently
[单项选择]An analyst, who is a CFA Institute member, manages a high-grade bond mutual fund. This is his only professional responsibility. When the analyst comes across a speculative stock investment that he feels is a good investment for his personal portfolio, the analyst:（）
A. may invest in the stock because the analyst would not purchase the stock for the bond portfolio he manages.
B. may not invest in the stock because of his position as a portfolio manager.
C. is in violation of Standard Ⅳ (A), Loyalty to Employer, by spending time analyzing stocks when he should only analyze bonds.
[单项选择]A CFO who is a CFA Institute member is careful to make his press releases-some of them containing material and previously undisclosed information——clear and understandable to his readers. While writing a new release, he often has his current intern proofread rough drafts. He also sends electronic copies to his brother, an English teacher, to get suggestions concerning style and grammar. With respect to Standard Ⅱ (A), Material Nonpublic Information, the CFO is: A. not in violation of the Standard. B. violating the standard by either showing the pre-release version to his intern or sending it to his brother. C. only in violation by showing the pre-release version to the intern but not to a relative such as his brother.
[单项选择]Mr. Gonzales, who has been a ______ member of the country club for over 25 years, has recently been appointed president.
A. first
B. valued
C. strong
D. durable
[单项选择]Who has been there
A. The woman.
B. The man.
C. Neither.
[单项选择]An avid Bush supporter who already has 25 shopping malls to his name, Congel himself is not a man you would expect to entertain an eccentric clean-energy vision. The project -- Destiny U.S.A., a mega-mall -- first seized him in 2001, soon after 9/11 ---and after the project was under way -- during a visit to the D-Day beaches in Normandy. "There I was looking at those pure white graves of tens of thousands of kids that died for freedom," Congel reflects, sitting on the veranda of his 6,000-acre farm just outside Syracuse, where he has imported Russian wild boar and other exotic game for hunting. "Today our kids are dying in a war for oil. Petroleum addiction is destroying our country, our economy, our environment,"
Several months after returning from Normandy, Congel announced that not a drop of fossil fuel would be used in the making of Destiny. Almost overnight the mission of the project changed. It went from the mall that could save the depressed economy of Syracuse to the ma
A. does not care about politics.
B. is a little idealistic but a real and rich business man.
C. indulges himself in environmental protection.
D. has been harboring the plan since he was a young man.
[单项选择]A member of Parliament has to spend a great deal of time answering letters from his ______.
A. candidates
B. patriots
C. constituents
D. selectors
[单项选择]Who has got a penWho has got a pen
A. Li Ping.
B. Wang Gang.
C. Zhang Wei.
[单项选择]Every member of society has to make a （）to straggle for the freedom of the country.
A. pledge
B. warranty
C. resolve
D. guarantee
[单项选择]Who has got a pen
A. Seven.
B. Three.
C. Four.
