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CFA考试(Level Ⅰ) - 相关题库
单选题 编号:2695515
1. Gardner Knight, CFA, is a product development specialist at an investment bank. Knight is responsible for creating and marketing collateralized debt obligations (CDOS) consisting of residential mortgage bonds. In the marketing brochure for his most recent CDO, Knight provided a list of the mortgage bonds that the CDO was created from. The brochure also states "an independent third party, the collateral manager, had sole authority over the selection of all mortgage bonds used as collateral in the CDO." However, Knight met with the collateral manager and helped her select the bonds for the (:DO. Knight is least likely to be in violation of which of the following (:FA Institute Standards of Professional Conduct?
  • A.Suitability
  • B.Conflicts of Interest
  • C.Client Communication

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