向客戶承諾收益，保證收益，是違法了Mispresentation？那違反performance pre嗎？ performance pre又說，根據(jù)歷史yield保證收益，是違反該條。 太迷惑了
老師PPT157頁，12-15 1. 為什么說I(C) 關注在performance pre上??？ 2. 兩者的辨析麻煩老師再說一下。 3. 我記得筆記寫，違法了performance pre，必違反mispre，對嗎? 4. TIPS,那幾個箭頭什么意思啊，
本題題目沒太看懂。 到底是誰把什么業(yè)務refer給了誰？誰需要披露？
because he would be improperly prospering from the inflated recommendation. 啥意思
soft dollar brokerage 怎么解釋？
對employer披露的不應該是所有外部職位嗎？對client才是標的公司吧？
什么時候可以不引用呢？ 我記得老師說過GDP? P/E什么的?
請問whistleblowing也是符合law但不符合ethical standards的事情嗎？
back test，壓力測試，請問是什么意思，哪里會考?
盡職調查一共包括哪些 要背嗎
07.單選題 已收藏 標記 糾錯 Kate Kally, CFA, manages several hundred employees as the head of research for a large investment advisory firm. Kate, as a former securities regulatory official until recently, ensured that his department’s compliance program always met or exceeded those of its competitors. Kate has delegated his supervisory responsibilities concerning compliance issues to Sucy Chen. Kate informed Sucy that her responsibilities include ensuring that the firm has appropriate compliance procedures and is making reasonable efforts to detect and prevent violations of Rules, Regulations, and the Code and Standards. Kate most likely violated the CFA Institute Standards of Professional Conduct by not telling Sucy to consider: A Firm policies. B Industry standards. C Legal restrictions. 這題選A，好像兩個答案有沖突？
C還是沒看懂。 是說不允許price已經出來后再designate？那用加權平均來分配，也是trade outcome出來以后再分配到賬戶呀。。。
可以再解釋下block trade嗎
第八條沒有講到 請問怎么理解？（comply with the last applicable law if transferable applicability）
如果主人公在新公司，被arranged 去meet 客戶，發(fā)現(xiàn)這幫客戶是自己以前的老客戶，算違反嗎?
程寶問答
金程問答
