财会经济>CFA特许金融分析师 > CFA考试(Level Ⅰ) > Study Session 1 Ethics and Professional Standards
CFA考试(Level Ⅰ) - 相关题库
单选题 编号:2690651
1. Neiman Investment Co. receives brokerage business from Pick Asset Management in exchange for referring prospective clients to Pick. Pick advises clients--in writing, at the time the relationship is established--of the nature of its arrangement with Neiman. With regard to this practice, Pick has:
  • A.Complied with the Code and Standards.
  • B.Violated the Code and Standards by failing to preserve the confidentiality of the agreement with Neiman.
  • C.Violated the Code and Standards by participating in an agreement that creates a conflict of interest.

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