单项选择题 Thomas Anderson, CFA, recently quit his job as an investment consultant and started his own business. Based on his memories, he recreated the investment model he made at his former employer. Anderson provided the model to some prospective clients as an example to prove his abilities. Did Anderson violate any CFA Institute Standards of Professional Conduct?A.Yes, with regard to Standard V (C)-Record Retention.B.Yes, with regard to Standard V (B)-Communication with Clients.C.No.

单项选择题 Yuan, CFA, is a portfolio manager, who has two clients. Both clients have the same amount of money in their accounts. Yuan thinks that a recession is coming, so he begins to increase the proportion of less risky assets in each account. In order to comply with Standard V (B), Communication with Clients and Prospective Clients, Yuan should:A.ensure that he does the same investment strategy for both clients.B.communicate with both clients about the change and inform them that the investment is based on his opinion.C.do both of that.

单项选择题 In a tough decision to leave Greenberg and Associates, Jillian Cross, CFA, decides to seek employment with a competing firm. She decides that her current management team is essential to her ability to do her job and plans to convince the others to come with her when she leaves. She also plans to take her client list with her because she has to start somewhere in building a book of business. Jillian is:A.out of compliance only in taking the client list.B.out of compliance only in trying to get her employees to come with her.C.out of compliance with Standard III(B), Duty to Employer, on both counts-attempting to take her management team with her and misappropriating the client list.D.in compliance.