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NEW QUESTION: 1
Harold Black is a portfolio manager who manages the pension portfolio of Company XCG. In addition to the normal compensation that Harold's company receives, Harold is entitled to use all of Company
XCG's facilities at their offices. Harold does not mention this benefit to anybody at his firm. According to
CFA Institute's Standards of Professional Conduct, which Standard of Professional Conduct has been violated?
A. Standard I (B) - Independence and Objectivity.
B. Standard IV (B) - Additional compensation arrangements.
C. Standard I (D) - Misconduct.
Answer: B
Explanation:
CFA charterholders and candidates in the CFA program must provide complete disclosure to their employer of the sources and nature of any compensation or other benefits received by them for services rendered. Compensation will include both direct and indirect compensation.
NEW QUESTION: 2
Eine ausländische Bank, die unter einer Offshore-Lizenz arbeitet, möchte ein Korrespondenzkonto bei einer US-amerikanischen Bank eröffnen. Die ausländische Bank plant, einigen ihrer Kunden über Kontodienste zu zahlen.
Was muss die ausländische Bank der US-Bank gemäß dem USA PATRIOT Act zur Verfügung stellen?
A. Eine Liste der Kontoinhaber beim Finanzinstitut, die das durch das Konto zu zahlende Konto verwenden
B. Eine Liste der Schulungsunterlagen zur Bekämpfung der Geldwäsche für die Mitarbeiter des Finanzinstituts, die die Zahlung über Kontotransaktionen überwachen
C. Die Person in den Vereinigten Staaten, die für die Korrespondenzbank einen Rechtsdienst erhalten kann
D. Eine Liste politisch exponierter Personen, die Eigentümer der Korrespondenzbank sind
Answer: A
NEW QUESTION: 3
When using UTM features in an HA cluster, which statement is true for installing the licenses on the cluster members?
A. One UTM cluster license will activate UTM features on both members.
B. Each device will need a UTM license generated for the cluster, but licenses can be applied to either member.
C. HA clustering automatically comes with UTM licensing, no additional actions are needed.
D. Each device will need a UTM license generated for its serial number.
Answer: D