Q) Sarah Johnson, a portfolio manager, is offered a bonus

Q) Sarah Johnson, a portfolio manager, is offered a bonus

Q) Sarah Johnson, a portfolio manager, is offered a bonus directly by a client if Johnson meets certain performance goals. To comply with the Standard that governs additional compensation arrangements, Johnson should:A. decline to accept a bonus outside of her compensation from her employer.B. disclose this arrangement to her employer in writing and obtain her employer’s permission.C. disclose this arrangement to her employer only if she actually meets the performance goals and receives the bonus.Q) A member or candidate who has supervisory responsibility:A. should place particular emphasis on enforcing investment-related compliance policies.B. is responsible for instructing those to whom he has delegated authority about methods to detect and prevent violations of the law and the Code and Standards.C. has complied with the Standards if she reports employee violations to upper management and provides a written warning to the employee to cease such activities.Q) Which of the following actions is a required, rather than recommended, action under the Standard regarding diligence and a reasonable basis for a firm’s research recommendations?A. Compensate analysts based on a measure of the quality of their research.B. Review the assumptions used and evaluate the objectivity of third-party research reports.C. Have a policy requiring that research reports and recommendations have a basis that can be substantiated as reasonable and adequate.

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