[单选题]

Johannes Meir, CFA, is a compliance officer for Family Estate Planning, LLC, a private wealth consulting firm. Many of his colleagues have family members who have started their own retail businesses. Some of Meir's colleagues have been asked by relatives to serve as non-executive directors or advisers to their companies. Meir should most likely recommend which of the following policies to ensure compliance with the CFA Institute Standards of Professional Conduct?

A.Require employees to declare all income sources annually

B.Require employees to declare all outside business interests

C.Prohibit employees from becoming directors or advisers

参考答案与解析:

相关试题

Johannes Meir, CFA, is a compliance officer for Family Estate Planning, LLC, a private-wealth consul

[单选题]Johannes Meir, CFA, is a compliance officer for Family Estate Planning, LLC

  • 查看答案
  • When Ed Michaels, CFA, accepted the compliance officer position at a broker-dealer two years ago, he

    [单选题]When Ed Michaels, CFA, accepted the compliance officer position at a broker

  • 查看答案
  • Mariam Musa, CFA, head of compliance at Dunfield Brokers, questions her colleague Omar Kassim, a CFA

    [单选题]Mariam Musa, CFA, head of compliance at Dunfield Brokers, questions her col

  • 查看答案
  • Mariam Musa, CFA, head of compliance at Dunfield Brokers, questions her colleague Omar Kassim, a CFA

    [单选题]Mariam Musa, CFA, head of compliance at Dunfield Brokers, questions her col

  • 查看答案
  • Who is most likely responsible for claiming and maintaining compliance with the CFA Institute Global

    [单选题]Who is most likely responsible for claiming and maintaining compliance with

  • 查看答案
  • Which of the following is most likely a private real estate investment vehicle?

    [单选题]Which of the following is most likely a private real estate investment vehi

  • 查看答案
  • Heidi Halvorson, CFA, is the chief investment officer for Tukwila Investors, an asset managementfirm

    [单选题]Heidi Halvorson, CFA, is the chief investment officer for Tukwila Investors

  • 查看答案
  • Kim Klausner, CFA, monitors several hundred employees as head of compliance for a large investment a

    [单选题]Kim Klausner, CFA, monitors several hundred employees as head of compliance

  • 查看答案
  • Joan Tasha, CFA, a supervisor at Olympia Advisors (OA), wrote and implemented compliance policies at

    [单选题]Joan Tasha, CFA, a supervisor at Olympia Advisors (OA), wrote and implement

  • 查看答案
  • Kim Klausner, CFA, monitors several hundred employees as head of compliance for a large investment a

    [单选题]Kim Klausner, CFA, monitors several hundred employees as head of compliance

  • 查看答案
  • Johannes Meir, CFA, is a compliance officer for Family Estate Planning, LLC, a private wealth consul