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Basic Question 5 of 8
During a presentation to prospective clients Pappy Peters says 'If you invest your money with us, you will receive 14% annual returns, no problem.' Pappy has indeed delivered 17% returns the prior year, but over the last 5 years the return has averaged only 15%.
B. Pappy has only violated Standard III (C) Suitability.
C. Pappy has only violated Standard III (D) Performance Presentation.
A. Pappy has not violated the Standards.
B. Pappy has only violated Standard III (C) Suitability.
C. Pappy has only violated Standard III (D) Performance Presentation.
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I was very pleased with your notes and question bank. I especially like the mock exams because it helped to pull everything together.
Martin Rockenfeldt
Learning Outcome Statements
evaluate practices, policies, and conduct relative to the CFA Institute Code of Ethics and Standards of Professional Conduct;
explain how the practices, policies, and conduct do or do not violate the CFA Institute Code of Ethics and Standards of Professional Conduct.
CFA® 2025 Level II Curriculum, Volume 6, Module 45.