3. (3 points) Is Jimmy's action to create a list of all the works he completed...

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3. (3 points) Is Jimmy's action to create a list of all the works he completed at First Brokers consistent with the CFA Institute Code and Standards? A. Yes. B. No, with regard to record retention. C. No, with regard to independence and objectivity. (2 points) Explain your choice by relating your answer to a particular standard in CFA Institute Code and Standards. (3 points) Is Michico's investment actions upon her return to Osaka consistent with the CFA Institute Code and Standards? A. Yes. B. No, with regard to communication with clients and prospective clients. C. No, with regard to priority of transactions. (2 points) Explain your choice by relating your answer to a particular standard in CFA Institute Code and Standards. 3. (3 points) Is Jimmy's action to create a list of all the works he completed at First Brokers consistent with the CFA Institute Code and Standards? A. Yes. B. No, with regard to record retention. C. No, with regard to independence and objectivity. (2 points) Explain your choice by relating your answer to a particular standard in CFA Institute Code and Standards. (3 points) Is Michico's investment actions upon her return to Osaka consistent with the CFA Institute Code and Standards? A. Yes. B. No, with regard to communication with clients and prospective clients. C. No, with regard to priority of transactions. (2 points) Explain your choice by relating your answer to a particular standard in CFA Institute Code and Standards.

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