题目内容
Michael, CFA, works as an Editor-In-Chief, at the ANZ bank’s marketing department. The Financial Times Magazine, which is published according to its business function, always recommends securities to the market. Once the magazine is published, it always guides those recommended stocks to a fairly good performance. According to the recommendation, Michael often trades stocks before the magazine is published. Meanwhile, ANZ bank’s compliance department requires all portfolio managers or analysts to obtain prior approval for the transaction. Which of the following CFA Institute Standards of Professional Conduct does Michael most likely violate？
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Jenson Button, CFA, is a product development manager at a private equity fund. He is in charge of developing and promoting a new structured financial product, CBO (bond obligation), which includes many emerging-market corporate bonds. In the product-related catalog, Button discloses a list of selected underlying bonds. The catalog also mentions about one independent collateral agency, who has discretion over the selection of all corporate bonds. In fact, Button has discussed with the collateral agency manager many times and instructed him to select bonds for the CBO. Button is most likely to violate which of the following CFA Institute Standards of Professional Conduct？
Yuan, CFA, is a portfolio manager, who has two clients. Both clients have the same amount
Thomas Anderson, CFA, recently quit his job as an investment consultant and started his own business. Based on his memories, he recreated the investment model he made at his former employer. Anderson provided the model to some prospective clients as an example to prove his abilities. Did Anderson violate any CFA Institute Standards of Professional Conduct？
Yuan, CFA, was a junior research analyst at Golden Finance. He wrote a report that included predictions from an econometric model developed by his colleagues. He highlighted the source of this projection. The report also contained all relevant statistical data on the model and his comments on the accuracy of the model. For the Standard V (A)-Diligence and Reasonable Basis, Yuan had:
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