单项选择题

According to the Standards, insider trading is least likely to be prevented by establishing:

A. fire walls.
B. watch lists.
C. selective disclosure.

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单项选择题Kenneth, CFA, has just started work as a trainee with Jerron Asset Management Co., a small regional money management firm started six months ago. He has been told to make a few cold calls and round up some new clients. In which of the following statement has Kenneth least likely violated the Code and Standards

A. "We can perform all the financial and investment services you need. We’ve consistently outperformed the market indexes and will continue to do so under our current management."
B. "We can assist you with all the financial and investment services you need. If we don’t provide the service in-house, we have arrangements with other full-service firms that I would be happy to tell you about."
C. "Our firm has a long history of successful performance for our clients. While we can’t guarantee future results, we do believe that we will continue to benefit our clients."

单项选择题Amato, an island nation, does not have any regulations precluding the use of non-public information. Darcy has a friend and fellow CFA charter holder there with whom he has shared nonpublic information regarding firms outside of her industry. The information concerns several firms’ internal earnings and cash flow projections. The friend may:

A. trade on the information under the laws, which govern her behavior.
B. not trade on the information under CFA Institute Standards, which govern her behavior.
C. trade on the information under CFA Institute Standards since the firms concerned are outside of Darcy’s industry.