Which of the following is a violation based on AIMR’s Standard’s of Pro fessional Conduct？
A portfolio manager accepts free trades from XYZ for her personal account for directing the portfolio’s trades to XYZ. She does not inform her manager since there is no cash involved.
B. After informing his manager, a portfolio manager accepts money for giving a broker information relating to a client’s financial standing.
C. A portfolio manager is offered a free vacation to increase performance. At the end of the year performance is up and the manager accepts the vacation after info rming his manager of the fact.
D. A portfolio manager is unexpectedly offered a vacation at year-end from a client who was pleased with their portfolio’s performance. The manager accepts the vacation after informing her manager of the fact.
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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.
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.
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