[单选题]

Neiman Investment Co. receives brokerage business from Pick Asset Management in exchange for referring prospective clients to Pick. Pick advises clients--in writing, at the time the relationship is established--of the nature of its arrangement with Neiman. With regard to this practice, Pick has:

A.Complied with the Code and Standards.

B.Violated the Code and Standards by failing to preserve the confidentiality of the agreement with Neiman.

C.Violated the Code and Standards by participating in an agreement that creates a conflict of interest.

参考答案与解析:

相关试题

Heidi Halvorson, CFA, is the chief investment officer for Tukwila Investors, an asset management fir

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

  • 查看答案
  • An analyst who is a CFA institute member receives an invitation from a business associate's fir

    [单选题]An analyst who is a CFA institute member receives an invitation from a busi

  • 查看答案
  • Paragon Co. has an operating profit margin (EBIT / revenue) of 11%; an asset turnover ratio of 2; a

    [单选题]Paragon Co. has an operating profit margin (EBIT / revenue) of 11%; an asse

  • 查看答案
  • Alpha Advisors Inc. is an investment management firm with a client base that ranges from individuals

    [单选题]Alpha Advisors Inc. is an investment management firm with a client base tha

  • 查看答案
  • Hern Investments provides monthly emerging market research to Baker Brokerage in exchange for prospe

    [单选题]Hern Investments provides monthly emerging market research to Baker Brokera

  • 查看答案
  • Whenever an investment management firm presents investment performance in compliance with the Global

    [单选题]Whenever an investment management firm presents investment performance in c

  • 查看答案
  • Jeffery Jones is a Level II candidate in the CFA Program. She receives an e-mail from a co-worker wh

    [单选题]Jeffery Jones is a Level II candidate in the CFA Program. She receives an e

  • 查看答案
  • Doug Watson, CFA, serves in a sales position at Sommerset Brokerage, a registered investment adviser

    [单选题]Doug Watson, CFA, serves in a sales position at Sommerset Brokerage, a regi

  • 查看答案
  • Quixote Co. and Sisyphus Co., two similar-sized competitors, have had stable operating cycles of 180

    [单选题]Quixote Co. and Sisyphus Co., two similar-sized competitors, have had stabl

  • 查看答案
  • (ii) Deema Co. (4 marks)

    [试题](ii) Deema Co. (4 marks)

  • 查看答案
  • Neiman Investment Co. receives brokerage business from Pick Asset Management in exchange for referri