[单选题]

Alvin Gold, CFA, resides in Country T and does business as an investment advisor primarily in Country U. Country T allows trading on non-public information and does not require disclosure of referral fees. Country U prohibits trading on non-public information only if it is gained by illegal means and requires disclosure of referral fees of over $100 (U.S. equivalent). Gold accepts a referral fee of $75, and in the course of a meeting with two other analysts and the firm's CFO, Gold receives material non-public information. To comply with the Code and Standards, Gold:

A.Need not disclose the referral fee but cannot trade on the non-public information.

B.Must disclose the referral fee and cannot trade on the non-public information.

C.Must disclose the referral fee but may trade on the non-public information.

参考答案与解析:

相关试题

Bryan Barrett, CFA has an investment advisory service providing advice on gold and other commodities

[单选题]Bryan Barrett, CFA has an investment advisory service providing advice on g

  • 查看答案
  • Charles Mbuwanga, a Level Ⅲ CFA candidate, is the business development manager for Sokoza Investment

    [单选题]Charles Mbuwanga, a Level Ⅲ CFA candidate, is the business development mana

  • 查看答案
  • Wang Dazong, CFA, is a sole proprietor investment advisor. Dazong believes in putting his money at r

    [单选题]Wang Dazong, CFA, is a sole proprietor investment advisor. Dazong believes

  • 查看答案
  • Ross Dunder, CFA, is the CIO for Bling Trust (BT), an investment advisor. Dunder recently assigned o

    [单选题]Ross Dunder, CFA, is the CIO for Bling Trust (BT), an investment advisor. D

  • 查看答案
  • Praful Chandarana, CFA, is starting a new business to offer investment-consulting services to pensio

    [单选题]Praful Chandarana, CFA, is starting a new business to offer investment-cons

  • 查看答案
  • Theresa Hatcher, CFA, is making arrangements to establish her own investment advisory business befor

    [单选题]Theresa Hatcher, CFA, is making arrangements to establish her own investmen

  • 查看答案
  • Jack Steyn, CFA, recently became the head of the trading desk at a large investment managementfirm t

    [单选题]Jack Steyn, CFA, recently became the head of the trading desk at a large in

  • 查看答案
  • Antonio Mendoza, CFA, is an investment manager in private practice under the name Mendoza Investment

    [单选题]Antonio Mendoza, CFA, is an investment manager in private practice under th

  • 查看答案
  • Christy Pasley, CFA, is the Chief Investment Officer for Risen Investment Funds (RIF) a mutual fund

    [单选题]Christy Pasley, CFA, is the Chief Investment Officer for Risen Investment F

  • 查看答案
  • Colin Caldwell, CFA, is the chief investment officer of Northwest Mutual Fund, whose investment obje

    [单选题]Colin Caldwell, CFA, is the chief investment officer of Northwest Mutual Fu

  • 查看答案
  • Alvin Gold, CFA, resides in Country T and does business as an investment advisor primarily in Countr