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NEW QUESTION: 1
A. Option B
B. Option C
C. Option A
D. Option D
Answer: D
NEW QUESTION: 2
Which three can be described with the name SUNW.i86pc? (Choose three.)
A. a macro defined in DHCP used for PXE boot
B. a Solaris OS package installed during PXE boot
C. a file system type created during PXE boot
D. a DHCP client class used during PXE boot
E. a processor type which can use PXE boot
F. a vendor client class used during PXE boot
Answer: A,D,F
NEW QUESTION: 3
In order to comply with Standard IV (B.4), Priority of Transactions, firms should prepare and distribute to firm personnel a code of ethics and compliance procedures. The code and procedures should do all of the following, EXCEPT:
A. contain disciplinary procedures.
B. maintain a list of clients and their holdings.
C. consider special situations.
D. limit the number of access persons.
E. define personal transactions, investment and prohibited transactions.
F. ensure that procedures will be enforced.
G. establish reporting and prior-clearance requirements.
Answer: B
Explanation:
Explanation/Reference:
Explanation:
The question deals with the compliance procedures under Standard IV (B.4). Personal transactions must be defined to all employees. The number of access persons - those who have knowledge of pending or actual recommendations or action - should be limited, by implementing Fire Walls. A reporting system for all employees' personal transactions should be established, as well as procedures for special situations.
Authority should be given to a compliance officer to enforce the procedures, which should include disciplinary action. Maintaining lists of client holdings is NOT a compliance procedure under Standard IV (B.4), but Standard IV (B.3).
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