1.

Beverley is the head of trading at Dunedin Asset Management (DAM). To facilitate currency transactions for the various DAM portfolios, Beverely currently uses the services of a local FX company, who consistently provide superior rates and spreads. A competitor company has recently sent Beverely two box tickets to a major upcoming sporting event. In order to avoid violating CFA Codes and Standards, which of the following actions is most appropriate?

Beverley should:

(a)only accept the gift if she doesn't really like sports.

(b)accept the tickets, but make sure she takes a client with her.

(c) accept the tickets, but refuse to use the services of the competitor company,

(d) not accept the tickets.

2.

An investor that only allocates capital to wind turbine blade producers is likely adopting what ESG investing technique?

(a)Positive screen

(b)Activist

(c)Thematic

(d)ESG integration

3.

An investor that looks to invest in profitable businesses that are radically changing their processes to swiftly reduce their carbon footprint to zero would most likely be following which of the following investment approaches?

(a) Impact first investing

(b) Thematic impact investing

(c) Traditional investing

(d) Sustainable impact investing