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NEW QUESTION: 1
John Green, CFA, is a sell-side technology analyst at Federal Securities, a large global investment banking and advisory firm. In many of his recent conversations with executives at the firms he researches, Green has heard disturbing news. Most of these firms are lowering sales estimates for the coming year. However, the stock prices have been stable despite management's widely disseminated sales warnings. Green is preparing his quarterly industry analysis and decides to seek further input. He calls Alan Volk, CFA, a close friend who runs the Initial Public Offering section of the investment banking department of Federal Securities.
Volk tells Green he has seen no slowing of demand for technology IPOs. "We've got three new issues due out next week, and two of them are well oversubscribed." Green knows that Volk's department handled over 200 IPOs last year, so he is confident that Volk's opinion is reliable. Green prepares his industry report, which is favorable. Among other conclusions, the report states that "the future is still bright, based on the fact that 67% of technology IPOs are oversubscribed." Privately, Green recommends to Federal portfolio managers that they begin selling all existing technology issues, which have "stagnated," and buy the IPOs in their place.
After carefully evaluating Federal's largest institutional client's portfolio, Green contacts the client and recommends selling all of his existing technology stocks and buying two of the upcoming IPOs, similar to the recommendation given to Federal's portfolio managers. Green's research has allowed him to conclude that only these two IPOs would be appropriate for this particular client's portfolio. Investing in these IPOs and selling the current technology holdings would, according to Green, "double the returns that your portfolio experienced last year." Federal Securities has recently hired Dirks Bentley, a CFA candidate who has passed Level 2 and is currently preparing to take the Level 3 CFA® exam, to reorganize Federal's compliance department.
Bentley tells Green that he may be subject to CFA Institute sanctions due to inappropriate contact between analysts and investment bankers within Federal Securities. Bentley has recommended that Green implement a firewall to rectify the situation and has outlined the key characteristics for such a system.
Bentley's suggestions are as follows:
1. Any communication between the departments of Federal Securities must be channeled through the compliance department for review and eventual delivery. The firm must create and maintain watch, restricted, and rumor lists to be used in the review of employee trading.
2. All beneficial ownership, whether direct or indirect, of recommended securities must be disclosed in writing.
3. The firm must increase the level of review or restriction of proprietary trading activities during periods in which the firm has knowledge of information that is both material and nonpublic.
Bentley has identified two of Green's analysts, neither of whom have non-compete contracts, who are preparing to leave Federal Securities and go into competition. The first employee, James Ybarra, CFA, has agreed to take a position with one of Federal's direct competitors. Ybarra has contacted existing Federal clients using a client list he created with public records. None of the contacted clients have agreed to move their accounts as Ybarra has requested. The second employee, Martha Cliff, CFA, has registered the name Cliff Investment Consulting (CIC), which she plans to use for her independent consulting business.
For the new business venture, Cliff has developed and professionally printed marketing literature that compares the new firm's services to that of Federal Securities and highlights the significant cost savings that will be realized by switching to CIC. After she leaves Federal, Cliff plans to target many of the same prospects that Federal Securities is targeting, using an address list she purchased from a third-party vendor. Bentley decides to call a meeting with Green to discuss his findings.
After discussing the departing analysts. Green asks Bentley how to best handle the disclosure of the following items: (1) although not currently a board member. Green has served in the past on the board of directors of a company he researches and expects that he will do so again in the near future; and (2) Green recently inherited put options on a company for which he has an outstanding buy recommendation.
Bentley is contemplating his response to Green.
Assess whether, in light of CFA Institute Standards of Professional Conduct, Bentley's disclosure recommendations are correct or incorrect with respect to the two items noted by Green. How should Bently respond to Green regarding disclosure requirements on Item I -- Green's prior Board participation, and Item 2 - Green's inherited put options?
A. Green's Board position issue need not be disclosed, but the inherited put options must be disclosed to Green's employer, clients and prospects.
B. Both of Green's items must be fully disclosed to his employer, clients and prospects.
C. Since Green is not a current Board member, no disclosure is needed and the put options need not be disclosed, since the buy recommendation has already been completed and is in place.
Answer: B
Explanation:
Explanation/Reference:
Explanation:
According to Standard VI(A) Disclosure of Conflicts, members and candidates must make full and fair disclosure of any and all matters that interfere with their independence and objectivity. Greens board membership has the potential to influence his research recommendations. Even though he currently does not sit on the board, he expects to return to board membership in the near future. Clients, prospects, and his employer would all need to be notified of such information to assess the level of objectivity in Greens reports on the company in question. Greens inheritance of the put options on a company he covers also presents a situation in which his objectivity may be compromised. Even though it may be remote, the incentive to be pessimistic about the subject company exists since Green would like to benefit from the increase in the value of the put options. He must disclose this conflict to clients, prospects, and his employer as well. Generally, an/ conflict that may impair a members or candidates independence and objectivity will need to be disclosed to clients, prospects, and the employer. (Study Session I, LOS 2.a)
NEW QUESTION: 2
All users have unrestricted access in a secured environment.
What must be modified to control this access?
A. Remove the "Everyone" group from the "System Administrators" role.
B. Disable anonymous access using IBM Cognos Configuration.
C. Delete the "All Authenticated Users" group.
D. Modify the advanced properties of the authorization namespace.
Answer: B
Explanation:
Explanation/Reference:
Explanation:
You can disable the Anonymous user account by changing the configuration parameters in the configuration tool.
This entry represents a user account shared by members of the general public who can access IBM Cognos software without being prompted for authentication. For example, this type of access is useful when distributing an online catalog.
Anonymous users can see only those entries for which access permissions are not set, or are set specifically for this account or for the Everyone group.
Incorrect Answers:
A: The built-in entries include the Anonymous user account, the groups All Authenticated Users and Everyone, and the role System Administrators. You cannot delete the built-in entries. They appear in both secured and non-secured environments.
References: IBM Cognos Administration Version 10.1.0, Administration and Security Guide, page 297
NEW QUESTION: 3
User1という名前のユーザーアカウントを含むAzureサブスクリプションがあります。
User1がテナントルート管理グループにポリシーを割り当てることができることを確認する必要があります。
あなたは何をするべきか？
A. グローバル管理者の役割をUser1に割り当ててから、デフォルトの条件付きアクセスポリシーを変更します。
B. グローバル管理者の役割をUser1に割り当ててから、Azureリソースのアクセス管理を構成するようにUser1に指示します。
C. 所有者の役割をUser1に割り当てます。次に、Azureリソースのアクセス管理を構成するようにUser1に指示します。
D. 所有者の役割をUser1に割り当てます。次に、デフォルトの条件付きアクセスポリシーを変更します。
Answer: A
Explanation:
Topic 1, Litware, inc.
Overview
Litware, Ltd. is a consulting company that has a main office in Montreal and two branch offices in Seattle and New York.
The Montreal office has 2,000 employees. The Seattle office has 1,000 employees. The New York office has 200 employees.
All the resources used by Litware are hosted on-premises.
Litware creates a new Azure subscription. The Azure Active Directory (Azure AD) tenant uses a domain named Litware.onmicrosoft.com. The tenant uses the P1 pricing tier.
Existing Environment
The network contains an Active Directory forest named Litware.com. All domain controllers are configured as DNS servers and host the Litware.com DNS zone.
Litware has finance, human resources, sales, research, and information technology departments. Each department has an organizational unit (OU) that contains all the accounts of that respective department. All the user accounts have the department attribute set to their respective department. New users are added frequently.
Litware.com contains a user named User1.
All the offices connect by using private links.
Litware has data centers in the Montreal and Seattle offices. Each data center has a firewall that can be configured as a VPN device.
All infrastructure servers are virtualized. The virtualization environment contains the servers in the following table.
Litware uses two web applications named App1 and App2. Each instance on each web application requires 1GB of memory.
The Azure subscription contains the resources in the following table.
The network security team implements several network security groups (NSGs).
Planned Changes
Litware plans to implement the following changes:
* Deploy Azure ExpressRoute to the Montreal office.
* Migrate the virtual machines hosted on Server1 and Server2 to Azure.
* Synchronize on-premises Active Directory to Azure Active Directory (Azure AD).
* Migrate App1 and App2 to two Azure web apps named webApp1 and WebApp2.
Technical Requirements
Litware must meet the following technical requirements:
* Ensure that WebApp1 can adjust the number of instances automatically based on the load and can scale up to five instance*.
* Ensure that VM3 can establish outbound connections over TCP port 8080 to the applications servers in the Montreal office.
* Ensure that routing information is exchanged automatically between Azure and the routers in the Montreal office.
* Enable Azure Multi-Factor Authentication (MFA) for the users in the finance department only.
* Ensure that webapp2.azurewebsites.net can be accessed by using the name app2.Litware.com.
* Connect the New Your office to VNet1 over the Internet by using an encrypted connection.
* Create a workflow to send an email message when the settings of VM4 are modified.
* Create a custom Azure role named Role1 that is based on the Reader role.
* Minimize costs whenever possible.