问题 单项选择题

Brian Bellow, a CFA Institute member, is a portfolio manager for Progressive Trust Company. Several friends asked Bellow to review their investment portfolios. On his own time, Bellow examined their portfolios and made several recommendations. He received no monetary compensation from his friends for his investment advice and provided no future investment counsel to them. According to CFA Institute Standards of Professional Conduct, did Bellow violate his duty to Progressive Trust()

A. No, because Bellow provided no ongoing investment advice.

B. No, because Bellow provided investment advice to his friends.

C. Yes, because he undertook an independent practice that could result in compensation or other benefit to him.

答案

参考答案:C

解析:

Standard Ⅳ(A) does not preclude providing independent services for compensation while still employed; however, notification to the employer is required describing the type of service, the expected duration, and the compensation. Compensation includes more than just monetary benefits.

选择题
完形填空
I ran into a stranger as he passed by. “I’m so sorry!” was my reply. Then he said, “Excuse me too. I wasn’t   36  watching for you.” We were very polite, this stranger and I. Then we went   37  our way after saying goodbye.
But at     38   , a different story is told. How we treat our loved ones, young and old. Later in the kitchen, as I    39   the meal, my daughter walked up to me, very still. When I turned, I    40   knocked her down. “Get out of the way!” I shouted with a frown (皱眉). She stepped away silently, with her little heart    41  . I didn’t realize how rudely I had spoken.
That night, when I lay    42   in bed, God’s quiet voice spoke to me and said, “While    43   with a stranger, you are calm and polite, but with those you love, you are quick to excite.  Go to look around on the kitchen floor, you’ll find some flowers there by the    44   . Those are the flowers she brought for you. She    45    them herself — pink, yellow, and your favorite blue. She stood there quietly and you never saw the    46    in her eyes.”
By this time, I felt sad and small and now my own tears began to fall. I quietly went and knelt (跪) by her    47   . “Wake up, my dear,” I said. “Are these the flowers you picked up for me?” She smiled, “I found them out by the tree, I    48      them in a napkin(纸巾), just for you. I knew you’d like them, especially the     49   .” I said, “I am so sorry that I missed them today. And I    50   have fussed (大惊小怪) at you that way. ”
And she whispered, “Mommy, that’s OK… I still love you     51   .” I hugged her and said, “I love you, too and I love the flowers.”
Do you know that: if you die tomorrow, the    52   you are working for could easily replace you in a matter of days. But the family you leave    53  will feel the loss for the rest of their lives. And come to think of it, we pour ourselves more into our    54   than into our families--- an unwise investment (投资) indeed.
Remember that   55  =" (F)ATHER" + (A)ND + (M)OTHER + (I ) + (L)OVE + (Y)OU.
小题1:
A.everB.even C.just D.right
小题2:
A.to B.inC.on D.for
小题3:
A.school B.work C.home D.office
小题4:
A.cooked B.had C.ate D.took
小题5:
A.already B.hardly C.rudely D.nearly
小题6:
A.lost B.missed C.beaten D.broken
小题7:
A.asleep B.awake C.afraidD.alive
小题8:
A.dealingB.meeting C.going D.talking
小题9:
A.floorB.kitchen C.window D.door
小题10:
A.grew B.bought C.picked D.fetched
小题11:
A.tearsB.expressions C.smiles D.joy
小题12:
A.desk B.bed C.bodyD.knees
小题13:
A.wrappedB.covered C.put D.help
小题14:
A.pinkB.yellowC.blue D.black
小题15:
A.needn’t B.shouldn’t C.mustn’t D.can’t
小题16:
A.indeed B.besidesC.anything D.anyway
小题17:
A.companyB.countryC.placeD.state
小题18:
A.for B.withC.behindD.to
小题19:
A.books B.loss C.meal D.work
小题20:
A.RESPECT B.WARMTH C.FAMILY D.FRIEND