merito

1：Husband/wife... both working in finance jobs. They routinely discuss possilibility of clients entering mergers, etc.
Has they violated Standard of confidentiality(Yes/No) and Standard of Material non-public information(Yes/No)?

我的答案是YES, NO, 因为没有操作。。。

错了， 都违反了！ 知道了就应该力求公布出去

merito

5：A member put CFA logo on his individual letterhead or business card. In order to prevent CFA is incorporated into company name, he doesn't place in such close proximity to a company name and put at the bottom of the card. Has he violated Standard VII(B) for his individual letterhead or business card? (Yes/No)

这道我肯定错了不过国外的论坛讨论也有争议，不过集中在YES YES 和 NO NO 上

NO NO

merito

4：Which of the following is likely to violated Market Manipiulation for buying and immediately selling to have tax benefit(Yes/No) and using Legitimate trading strategy to exploit market inefficiency(Yes/No)

NO  NO

merito

3：Questions on content in fundmanetals of compliance?

A firm is existed for 12 years, accrording to GIPS, the firm need minimum compliance records:

choices: .3 years, 5 years, 10 years, 12 years

5Year Minimum