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NEW QUESTION: 1
Robert Keith, CFA, has begun a new job at CMT Investments as Head of Compliance. Keith has just completed a review of all of CMT's operations, and has interviewed all the firm's portfolio managers. Many are CFA charterholders, but some are not. Keith intends to use the CFA Institute Code and Standards, as well as the Asset Manager Code of Professional Conduct, as ethical guidelines for CMT to follow.
In the course of Keith's review of the firm's overall practices, he has noted a few situations which potentially need to be addressed.
Situation 1:
CMT Investments' policy regarding acceptance of gifts and entertainment is not entirely clear. There is general confusion within the firm regarding what is and is not acceptable practice regarding gifts, entertainment and additional compensation.
Situation 2:
Keith sees inconsistency regarding fee disclosures to clients. In some cases, information related to fees paid to investment managers for investment services provided are properly disclosed. However, a few of the periodic costs, which will affect investment return, are not disclosed to the clients. Most managers are providing clients with investment returns net of fees, but a few are just providing the gross returns. One of the managers stated "providing gross returns is acceptable, as long as I show the fees such that the client can make their own simple calculation of the returns net of fees." Situation 3:
Keith has noticed a few gaps in CMT's procedure regarding use of soft dollars. There have been cases where "directed brokerage" has resulted in less than prompt execution of trades. He also found a few cases where a manager paid a higher commission than normal, in order to obtain goods or services. Keith is considering adding two statements to CMT's policy and procedures manual specifically addressing the primary issues he noted.
Statement 1:
"Commissions paid, and any corresponding benefits received, are the property of the client. The benefit(s) must directly benefit the client. If a manager's client directs the manager to purchase goods or services that do not provide research services that benefit the client, this violates the duty of loyalty to the client." Statement 2:
"In cases of "directed brokerage," if there is concern that the client is not receiving the best execution, it is acceptable to utilize a less than ideal broker, but it must be disclosed to the client that they may not be obtaining the best execution." Situation 4:
Keith is still evaluating his data, but it appears that there may be situations where proxies were not voted.
After completing his analysis of proxy voting procedures at CMT, Keith wants to insert the proper language into the procedures manual to address proxy voting.
Situation 5:
Keith is putting into place a "disaster recovery- plan," in order to ensure business continuity in the event of a localized disaster, and also to protect against any type of disruption in the financial markets. This plan includes the following provisions:
* Procedures for communicating with clients, especially in the event of extended disruption of services provided.
* Alternate arrangement for monitoring and analyzing investments in the event that primary systems become unavailable.
* Plans for internal communication and coverage of crucial business functions in the event of disruption at the primary place of business, or a communications breakdown.
Keith is considering adding the following provisions to the disaster recovery plan in order to properly comply with the CFA Institute Asset Manager Code of Professional Conduct:
Provision 1: "A provision needs to be added incorporating off-site backup for all pertinent account information." Provision 2: "A provision mandating testing of the plan on a company-wide basis, at periodical intervals, should be added." Situation 6:
Keith is spending an incredible amount of time on detailed procedures and company policies that are in compliance with the CFA Institute Code and Standards, and also in compliance with the CFA Institute Asset Manager Code of Professional Conduct. As part of this process, he has had several meetings with CMT senior management, and is second-guessing the process. One of the senior managers is indicating that it might be a better idea to just formally adopt both the Code and Standards and the Asset Manager Code of Conduct, which would make a detailed policy and procedure manual redundant.
Which of the following statements most accurately describes the obligations of investment managers related to disclosure of fees under the CFA Institute Asset Manager Code of Professional Conduct?
A. All fees must be disclosed to the client, including any periodic account costs. Both gross- and net-of- fees returns must be disclosed.
B. A general statement concerning certain fees and costs is acceptable, as long as the majority of the fees paid to the firm are disclosed to the client. Both gross- and net-of-fees returns must be disclosed.
C. All fees, including periodic costs, must be reported to the client. Either gross- or net-of-fees results are acceptable, as long as the client can make the simple "net" calculation from the information provided.
Answer: A
Explanation:
Explanation/Reference:
Explanation:
General statements regarding fees and costs are not enough. Disclosures of all fees and costs must be made. Also, in accordance with the "Disclosures" section of the Asset Manager Code of Professional Conduct, managers must provide returns gross- and net-of-fees. In addition, managers must show an itemization of charges if requested by the client. (Study Session 2, LOS 6.b)
NEW QUESTION: 2
管理者は、Webサーバー上の複数のWebサイトドメインを保護することを任務としています。管理者は、www.example.com、mail.example.org、archive.example.com、およびwww.example.orgを同じ証明書で保護することを選択します。次のうちどれが管理者が単一の発行された証明書でそれらのドメインを保護することを可能にするでしょうか?
A. 中間ルート証明書
B. EV x 509証明書
C. サブジェクト代替名証明書
D. ワイルドカード証明書
Answer: C
Explanation:
Explanation
Subject Alternative Names let you protect multiple host names with a single SSL certificate. Subject Alternative Names allow you to specify a list of host names to be protected by a single SSL certificate.
When you order the certificate, you will specify one fully qualified domain name in the common name field.
You can then add other names in the Subject Alternative Names field.
NEW QUESTION: 3
Note: This question is part of a series of questions that use the same scenario. For your convenience, the scenario is repeated in each question. Each question presents a different goal and answer choices, but the text of the scenario is exactly the same in each question in this series.
You are developing a database to track customer orders. The database contains the following tables:
Sales.Customers, Sales.Orders, and Sales.OrderLines. The following table describes the columns in Sales.Customers.
The following table describes the columns in Sales.Orders.
The following table describes the columns in Sales.OrderLines.
You need to create a stored procedure that inserts data into the Customers table. The stored procedure must meet the following requirements:
- Data changes occur as a single unit of work.
- Data modifications that are successful are committed and a value of 0 is returned.
- Data modifications that are unsuccessful are rolled back. The exception severity level is set to 16 and a value of -1 is returned.
- The stored procedure uses a built-it scalar function to evaluate the current condition of data modifications.
- The entire unit of work is terminated and rolled back if a run-time error occurs during execution of the stored procedure.
How should complete the stored procedure definition? To answer, drag the appropriate Transact-SQL segments to the correct targets. Each Transact-SQL segment may be used once, more than once, or not at all.
You may need to drag the split bar between panes or scroll to view content.
NOTE: Each correct selection is worth one point.
Answer:
Explanation:
Explanation
Explanation
Box 1: XACT_ABORT
XACT_ABORT specifies whether SQL Server automatically rolls back the current transaction when a Transact-SQL statement raises a run-time error.
When SET XACT_ABORT is ON, if a Transact-SQL statement raises a run-time error, the entire transaction is terminated and rolled back.
Box 2: COMMIT
Commit the transaction.
Box 3: XACT_STATE
Box 4: ROLLBACK
Rollback the transaction
Box 5: THROW
THROW raises an exception and the severity is set to 16.
Requirement: Data modifications that are unsuccessful are rolled back. The exception severity level is set to 16 and a value of -1 is returned.
References:
https://msdn.microsoft.com/en-us/library/ms188792.aspx
https://msdn.microsoft.com/en-us/library/ee677615.aspx
NEW QUESTION: 4
What is the name of the root element of the LDAP tree holding the configuration of an OpenLDAP server that is using directory based configuration?
(Specify ONLY the element's name without any additional information.)
Answer:
Explanation:
slapd