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[主观题]

Heidi Krueger, CFA, has discretionary authority over the accounts of Johnson, for whom she manages a portfolio of energy stocks, and Osaki, for whom she manages a diversified portfolio of domestic and

A、Only if she had not used soft dollars to pay for the conference table.

B、Only if she had not used soft dollars to pay for the conference table and had not used soft dollars from the trading of Johnsons account to pay for the report on the domestic steel industry.

C、Because she disclosed her use of soft dollars and applied them for the direct and indirect benefit of her clients.

答案

A
解析：Standard III （A） requires members to act for the benefit of their clients and to place their clients interests above their own. Soft dollars may be used for client benefit if the practice is disclosed. It is not required that each element of research purchased benefit each client involved, however, the manager should seek to assure that over time, all clients benefit from the use of research purchased with client brokerage. Using soft dollars for the purchase of office furniture does not directly benefit any client and is a violation.

发布时间：2022-02-01

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第1题

Under the Employee Retirement Income Security Act （ERISA), a person is a fiduciary if he or she:

A.has discretionary authority in the administration of the pension plan; rende rs investment advice for a fee with respect to a pension plan’s assets; exercises any discretionary authority with the management of the pension plan or its assets.

B.has an executive position in the firm sponsoring the pension plan.

C.has an executive position in the firm sponsoring the pension plan; has discretionary authority in the administration of the pension plan.

D.exercises any discretionary authority with the management of the pension plan or its assets.

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第2题

In the classification of currency regimes, a currency board system （CBS） most likely differs from a fixed-rate parity system in that:

A、A CBS has a discretionary target level of foreign exchange reserves.

B、A CBS can peg to a basket of currencies but a fixed-rate system cannot.

C、The monetary authority within a CBS does not act as a traditional lender of last resort.

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第3题

In the classification of currency regimes, a currency board system （CBS) most likely dif

In the classification of currency regimes, a currency board system (CBS) most likely differs from a fixed-rate parity system in that:

A. a CBS has a discretionary target level of foreign exchange reserves.

B. a CBS can peg to a basket of currencies but a fixed-rate system cannot.

C. the monetary authority within a CBS does not act as a traditional lender of last resort.

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第4题

Frist Investments, Inc. has just hired Michael Pulin to manage institutional portfolios, most of which are pension related. Pulin has just taken the Level III CFA exam and is awaiting his results. Pul

A、Has many years of investment experience which,along with his participation in the CFA program,will allow him to deliver superior investment performance relative to other managers.

B、Is a CFA Level III and passed the first two exams on the first attempt.He is an affiliate member of the CFA Institute.We expect him to become a regular member if he passes the Level III examination.

C、Is a Level III CFA candidate and has many years of excellent performance in the investment management industry.Pulin is an affiliate member of the CFA Institute and will be eligible to become a CFA charterholder and regular member if he passes the Level III CFA Exam.

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第5题

Pia Nilsson is a sole proprietor investment advisor. The economic recession has reduced the number of clients she advises and caused revenues to decline. As a result, Nilsson has not paid her CFA Inst

A、Nonpayment of CFA Institute membership dues

B、Attributing her superior returns to participation in the CFA Program

C、Indicating that being a CFA charter-holder has enhanced her portfolio management skills

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第6题

（Give) the package to （whomever) （has) the authority to （sign for) （it).A．GiveB．whomeverC．

(Give) the package to (whomever) (has) the authority to (sign for) (it).

A．Give

B．whomever

C．has

D．sign for it

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第7题

Fundamental Asset Managers claims compliance with the CFA Institute Global Investment Performance Standards （GIPS？） and manages both discretionary and non-discretionary accounts. When constructing a s

A、Yes

B、No,because of non-similar investment strategies

C、No,because non-discretionary accounts are not included

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第8题

In a team structure, ________.

A、there is a clear line of managerial authority

B、there is no clear line of managerial authority

C、authority comes from top managers only

D、no one has the authority to make decisions

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