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NEW QUESTION: 1
マネーロンダリング防止トレーニング文書の内部レビューでは、生命保険商品を販売する金融機関で雇用されている新しいエージェントのみがトレーニングされていることが明らかになりました。さらに、それは通常、機関を取りました
新しいアクチュアリーのトレーニングを開始する8か月。コンプライアンス担当者は、トレーニングはリスクの高い機能のみを実行するため、アクチュアリーに限定されていると説明しました。この機関は、フォローアップ評価なしでeラーニング技術に依存していました。
内部レビューで最も推奨される可能性がある問題は次のうちどれですか？
A. 機関は、6か月以内にアクチュアリーにマネーロンダリング防止トレーニングを提供する必要があります。
B. ダクト固有のマネーロンダリング防止トレーニングは、会社全体で提供される必要があります。
C. 取締役会を除くすべてのスタッフは訓練を受けなければなりません。
D. eラーニングを引き続き使用して、トレーニング中にマネーロンダリング防止コンテンツを強調します。
Answer: B

NEW QUESTION: 2
Chester Brothers, LLC, is an investment management firm with $200 million in assets under management.
Chester's equity style is described to clients as a "large cap core" strategy. One year ago, Chester instituted a new compensation plan for its equity portfolio managers. Under this new plan, each portfolio manager receives an annual bonus based upon that manager's quarterly performance relative to the S&P
500 index. For each quarter of aut-performance, the manager receives a bonus in the amount of 20% of his regular annual compensation. Chester has not disclosed this new plan to clients. Portfolio managers at Chester are not bound by non-compete agreements.
Fames Rogers, CFA, and Karen Pierce, CFA, are both portfolio managers affected by the new policy.
Rogers out-performed the S&P 500 index in each of the last three quarters, largely because he began investing his clients1 funds in small cap securities. Chester has recently been citing Rogers's performance in local media advertising, including claims that "Chester's star manager, James Rogers, has outperformed the S&P 500 index in each of the last three quarters." The print advertising associated with the media campaign includes a photograph of Rogers, identifying him as James Rogers, CFA. Below his name is a quote apparently attributable to Rogers saying "as a CFA chartcrholdcr I am committed to the highest ethical standards." A few weeks after the advertising campaign began, Rogers was approached by the Grumpp Foundation, a local charitable endowment with $3 billion in assets, about serving on their investment advisory committee.
The committee meets weekly to review the portfolio and make adjustments as needed. The Grumpp trustees were impressed by the favorable mention of Rogers in the marketing campaign. In making their offer, they even suggested that Rogers could mention his position on the advisory committee in future Chester marketing material. Rogers has not informed Chester about the Grumpp offer, but he has not yet accepted the position.
Pierce has not fared as well as Rogers. She also shifted into smaller cap securities, but due to two extremely poor performing large cap stocks, her performance lagged the S&P 500 index for the first three quarters. After an angry confrontation with her supervisor, Pierce resigned. Pierce did not take any client information with her, but when she left she did take a copy of a Pierce has not fared as well as Rogers.
She also shifted into smaller cap securities, but due to two extremely poor performing large cap stocks, her performance lagged the S&P 500 index for the first three quarters. After an angry confrontation with her supervisor, Pierce resigned. Pierce did not take any client information with her, but when she left she did take a copy of a computer model she developed while working al Chester, as well as the most recent list of her buy recommendations, which was created from the output of her computer valuation model. Pierce soon accepted a position at a competing firm, Cheeri Group. On her first day at Cheeri, she contacted each of her five largest former clients, informing them of her new employment and asking that they consider moving their accounts from Chester to Cheeri. During both telephone conversations and e-mails with her former clients, Pierce mentioned that Chester had a new compensation program that created incentives for managers to shift into smaller cap securities.
Cheeri has posted Pierce's investment performance for the past five years on its Web site, excluding the three most recent quarters. The footnotes to the performance information include the following two statements:
Statement 1: Includes large capitalization portfolios only.
Statement 2: Results reflect manager's performance at previous employer.
Assuming Rogers would like to accept the offer to serve on the Grumpp investment advisory committee, Rogers's obligations under the CFA Institute Standards require that he:
A. accept the Grumpp committee position and disclose his acceptance as soon as possible to his supervisor.
B. refuse to serve on the Grumpp committee.
C. accept the Grumpp committee position only after disclosing the offer to his supervisor.
Answer: C
Explanation:
Explanation/Reference:
Explanation:
Standard VI(A). Rogers must discuss the offer with supervisory personnel at Chester before accepting the offer. His employer then has the opportunity to evaluate the effect of the offer on Rogers's ability to continue to perform his duties for Chester. The foundation is very large, and the position appears likely to consume much of Rogers's time and effort. If compensation is involved, Rogers would have to decline the offer unless Chester consented to the arrangement. (Study Session I, LOS 2.a)

NEW QUESTION: 3
Drag and drop each statement about routing protocols on the left to the matching routing protocol type on the right.
Select and Place:

Answer:
Explanation:

NEW QUESTION: 4
Which of the following refers to an anomalous condition where a process attempts to store data beyond the boundaries of a fixed length buffer?
A. code injection
B. buffer overflow
C. None of the choices.
D. integer misappropriation
E. format string vulnerabilities
Answer: B
Explanation:
A buffer overflow is an anomalous condition where a process attempts to store data beyond the boundaries of a fixed length buffer. The result is that the extra data overwrites adjacent memory locations. The overwritten data may include other buffers, variables and program flow data.

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