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CFA考试(Level Ⅰ) - 相关题库
单选题 编号:2693326
1. Jack Steyn, CFA, recently became the head of the trading desk at a large investment managementfirm that specializes in domestic equities. While reviewing the firm's trading operations, he notices clients give discretion to the manager to select brokers on the basis of their overall services to themanagement firm. Despite the client directive, Steyn would most likely violate Standard Ill(A): Loyalty, Prudence, and Care if he pays soft commissions for which of the following services from thebrokers?
  • A.Database services for offshore investments
  • B.Equity research reports
  • C.Investment conference attendance

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