PIDICR w/ Subs Flashcards
0
Q
III is a marketing plan. A good one.
A
A. Loyal, prudent, caring
B. Fair dealer
C. Suitable investor
D. Performance Preservation
E. Confidentiality
1
Q
V. Recommended Action is the first thing to read tomorrow.
A
V
ADRB
BCC
CRR
2
Q
VII. Resp. as cand. or mmbr
A
VIIA. Conduct as members and candidates in VIIthe CFA program
VIIB. Reference to CFA institute, the CFA designation, and the CFA program
3
Q
VI. Cnflcs of Intrst
A
VIA. Disclosure of Conflicts
VIB. Priority of Transactions
VIC. Referral Fee’s
4
Q
IV. Duties to Emps
A
IVA. Loyalty
IVB. Additional Compensation Arrangements
IVC. Responsibilities of Supervisors
5
Q
I
A
A. Knowledge of the Law
B. Independence and Objectivity
C.Misrepresentation
D. Misconduct
7
Q
II
A
A. Material Insiders.
B. Manipulation.
