文档介绍：Question1JamesCox,CFA,,arepresentativeofamajorsecuritiesinformationservice,,Coxhasviolated:A) ) ) companypolicybutnottheCodeandStandardsaslongasthefirmreceivesfulldisclosureofCox') panybusiness. ThecorrectanswerwasB),StandardIV(A)DutiestoEmployers-,designedtominimizepotentialconflictsinvolvingemployeesandvendors,,Reading2-I,LOSB. Question2SandraFellows,CFA,receivedatelephonecallfromoneofherclientsatBostonFinancialofferingherthefreeuseoftheclient',Fellows:A) ) ) ) epttheofferbutmustinformheremployerofthegift. ThecorrectanswerwasD)(B)IndependenceandObjectivityandStandardIV(B)pensationArrangements,pensationamemberreceivesfromaclientthatisinadditiontoemployer-pensationorbenefitsmustbedisclosedtothemember',writtenpermissionisnotrequired.(SeeExample7forStandardI(B)intheStandardsofPracticeHandbook.)ThisquestiontestedfromSession1,Reading2-IV,LOSB. pany,’sCEO,TravisHowry,pliantperformancedataandhastakenthestepsnecessarytoensurethatLunar'’sPresident,DonWiggins,aboutGalaxy’:A) pany-) plianceifLunar'