Sue Johnson, CFA, has an elderly client with a very large asset base. The client intends to start divesting her fortune to various charities. Johnson is on the Board of a local charitable foundation.

Question 12

Sue Johnson, CFA, has an elderly client with a very large asset base. The client intends to start divesting her fortune to various charities. Johnson is on the Board of a local charitable foundation. Johnson most appropriately:

A.can make this known to the charitable foundation so that they can solicit the client, since it is the client’s wish to divest assets to charities in the future.

B.should solicit the client herself, along with other Board members, to obtain a larger contribution.

C.must not discuss anything regarding her client and her client’s intentions with the charitable foundation without permission.

D.can discuss her client’s situation with the charitable foundation as long as she informs other local charities of her client’s intentions.

A.can make this known to the charitable foundation so that they can solicit the client, since it is the client’s wish to divest assets to charities in the future.

B.should solicit the client herself, along with other Board members, to obtain a larger contribution.

C.must not discuss anything regarding her client and her client’s intentions with the charitable foundation without permission.

D.can discuss her client’s situation with the charitable foundation as long as she informs other local charities of her client’s intentions.

What can we learn about Sue？

A．She is Mrs. Johnson's sister.

B．She is the person to look after their children.

C．She is the speakers' guest.

What can we learn about Sue？

[A] She is Mrs. Johnson's sister.

[B] She is the person to look after their children.

[C] She is the speakers' guest.

A.She is Mrs. Johnson's sister.

B.She is the person to look after their children.

C.She is the speakers' guest.

A.

B.

C.

The newspaperman_________．

A.should have reported what Johnson had told him

B.shouldn’t have asked Johnson what iniection he had

C.was eager to live a long life 、

D.should have found out what Johnson really meant

A、No

B、Yes,related to Misconduct

C、Yes,related to Misrepresentation

A、Only if she had not used soft dollars to pay for the conference table.

B、Only if she had not used soft dollars to pay for the conference table and had not used soft dollars from the trading of Johnsons account to pay for the report on the domestic steel industry.

C、Because she disclosed her use of soft dollars and applied them for the direct and indirect benefit of her clients.

A、Regardless of the weights selected or the correlation between the returns of the two stocks,the expected standard deviation of a portfolio composed of the two stocks will be less than 16%.

B、Rational investor should not invest in the two stocks because their returns obviously exhibit positive correlation.

C、Regardless of the weights selected or the correlation between the returns of the two stocks,the expected return of a portfolio composed of the two stocks will be 125%.