题目内容

Yuan, CFA, is a portfolio manager works for Golden Finance. Alex Muller is one of Yuan’s clients. They have not been in contact for more than three years. Recently, Alex suddenly called Yuan and said that he made a lot of money and wanted to invest in some high-risk and high-yield investment products. Yuan immediately recommended and invested in some private equity funds. As usual, Yuan also prepared the list of these funds, the details of the proceeds, and sent them to Alex monthly. Did Yuan most likely violate the CFA Institute Code of Ethics and Standards of Professional Conduct?

A. Yes, he violated for investing private equity funds.
B. Yes, he violated for the details of proceeds.
C. No.

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According to the Mosaic Theory, what kind of the following information can most likely be used in the investment recommendation by the practitioner?

A. Public information.
B. Non-material nonpublic information.
C. Both A and B.

Yuan, CFA, is a fund manager works on an independent investment institution. He manages a

A. Yes, because the decision against IPS
B. No, because the beneficiary is Jack.
C. No, because the private equity has a good return.

To minimize the impact material nonpublic information inside the investment firm, which of the following actions are appropriate except:

A. Banning personal trading.
Building firewalls.
Cutting compliance department to increase efficiency.

社会工作者小陈了解到住院患者王大爷生活贫困,与儿子多年不来往的情况后,一方面经常与王大爷聊天,鼓励他配合治疗;另一方面与医院协调,减免了他的部份医疗费用;还与王大爷的儿子联系,帮助改善父子关系。根据上述内容,小陈的工作属于()。

A. 社会康复服务领域
B. 矫正社会工作领域
C. 心理健康服务领域
D. 医务社会工作领域

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