According to the Practice of Handbook, when an inquiry into a member's professional conduct is initiated, which of the following most likely initially conducts the investigation that may include requesting a written explanation form the member or candidate
A: The CFA Institute Designated Officer.
B: The Disciplinary Review Committee.
C: The CFA Institute Professional Conduct staff.
A: The CFA Institute Designated Officer.
B: The Disciplinary Review Committee.
C: The CFA Institute Professional Conduct staff.
举一反三
- The Standards of Practice Handbook is least likely to require a member of member’s firm to disclose which of the following to clients and prospective clients（） A: Underwriting relationships. B: Market-making activities. C: Obligation to abide by CFA Institute Code of Ethics and Standards of Professional Conduct.
- According to the passage, which of the following people was most likely to give a Sioux baby its original name A: A member of the father's family. B: A member of the mother's family. C: The wife of the medicine man. D: The bravest warrior in the village.
- Among the following universities, which is not a member of Ivy League? A: Columbia University. B: Brown University. C: University of Pennsylvania. D: Massachusetts Institute of Technology
- Which is a member of Ivy League among the following universities? A: Harvard University B: Massachusetts Institute of Technology C: Peking University D: Tsinghua University
- Which fundamental principle of professional and ethical conduct is described by the phrase ‘having the courage to pursue one’s convictions’? A: Integrity B: Objectivity C: Confidentiality D: Professional competence and due care