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NEW QUESTION: 1
Considering the information in the screenshot above, what is the order of evaluation for this URL Filtering Profile?
A. Block List, Allow List, Custom Categories, URL Categories (BrightCloud or PANDB).
B. Custom Categories, Block List, Allow List.
C. Block List, Allow List, URL Categories (BrightCloud or PANDB), Custom Categories.
D. Allow List, Block List, Custom Categories, URL Categories (BrightCloud or PANDB).
E. URL Categories (BrightCloud or PANDB),
Answer: B
NEW QUESTION: 2
Your network contains an Active Directory domain named contoso.com.
The domain contains a domain-based Distributed file System (DFS) namespace named Namespace1 that has access-based enumeration enabled.
Namespace1 has a folder named folder1.
Folder1 has a target of \\Server1\Folder1.
The Permission for folder1 are configured as shown in the following table.
Access-based enumeration is disabled for the share of Folder1.
You need to ensure that both User1 and User2 can see Folder1 when they access \\Contoso.com\NameSpace1
What should you do?
A. Deny User1 the read DFS permission to Folder1.
B. Disable access-based enumeration for Namespace1.
C. Enable access-based enumeration for Folder1.
D. Assign User1 the read NTFS permission to folder1
Answer: B
NEW QUESTION: 3
When using a large Scan operation in DynamoDB, what technique can be used to minimize the impact of a scan on a table's provisioned throughput?
A. Prewarm the table by updating all items
B. Define a range index on the table
C. Use parallel scans
D. Set a smaller page size for the scan
Answer: B
NEW QUESTION: 4
Cindy Hatcher, CFA, has spent the last ten years as a portfolio manager with Bernhardt Capital. While working for Bernhardt, Hatcher was responsible for maintaining and improving the company's code of ethics and guidelines for ethical money management. As a result of Hatcher's efforts, Bernhardt saw a dramatic decline in the number of complaints received from their individual and institutional customers.
One of Bernhardt's direct competitors, Smith Investments, is keenly aware of Hatcher's reputation for ethical business practices and has offered her a job as their compliance officer. Hatcher has been apprised of several potential ethical problems at Smith that she will be directly responsible for fixing through implementation of policies and procedures that will prevent ethical dilemmas. The management at Smith is willing to grant Hatcher the authority to construct and implement policies to eliminate the ethical problems at the company.
Hatcher agrees to accept the position with Smith and resigns from employment with Bernhardt. As her first initiative with the company, Hatcher distributes to all employees at Smith a survey intended to acquaint her with the company's common business practices. Her goal is to identify those factors that are most likely to interfere with Smith's compliance with the CFA Institute's Code of Ethics and Standards of Practice. After collecting and analyzing the anonymous responses to the survey, Hatcher has identified the following four issues as the most frequently cited questionable business practices:
1. Many Smith employees have relatives who are clients of the firm. For relatives* accounts where the Smith employee does not have beneficial ownership, trades are generally executed in conjunction with trades for other discretionary accounts held at the firm. Only in accounts where the Smith employee has beneficial ownership are trades delayed until all discretionary account trading is completed.
2. Many of Smith's employees either personally own or maintain, through a family member, beneficial ownership of stocks that are also held in accounts for many of the firm's clients. While the company maintains a strict disclosure policy to the firm of such beneficial ownership and an "at will" disclosure policy to its clients, employees are not barred from trading these securities for their personal benefit even if their clients also own or have a direct or indirect financial interest in the same securities.
3. Account managers meet weekly to discuss the issues and concerns of the client portfolios managed at the firm. During the meetings it is not unusual for individual clients to be identified and discussed.
Information regarding the client's holdings and investment strategy is discussed as well as persona! needs related to the client's portfolio. The meetings are held in order to provide guidance and continuing education to all of the firm's account managers.
4. At the suggestion of fixed-income analysts at the firm, most of the portfolio managers working for Smith have been adding B-rated corporate fixed-income securities to their portfolios. Analysts originally made (and continue to make) the suggestion due to the attractive yield potential offered by this class of investments. Smith's portfolio managers were thrilled with the idea since the returns on many of the portfolios' equity positions have been stifled by high profile accounting scandals.
Management at Smith Investments has been pleased with Hatcher's efforts so far but is concerned about the firm's ability to maintain compliance with the CFA Institute's Global Investment Performance Standards (GIPS®). The managing director of the firm, Erich Prince, has made the following comments to Hatcher:
"I am concerned that we will not be able to claim compliance with GIPS at the end of the year since our new information system has inhibited our ability to include terminated portfolios in the historical record up to the last full measurement period before they were terminated. Also, we are unable to regroup portfolios that utilize hedging into separate composites from those that do not utilize hedging. These portfolios are currently grouped according to traditional value and growth strategies based on the capitalization of portfolio holdings (i.e., large vs. small)." Hatcher eases Prince's mind by telling him she will "ensure full compliance with GIPS by the end of the quarter." Which of the following procedures should Hatcher enact to ensure that Smith Investments is in compliance with Standard IV(B.5) Preservation of Confidentiality? Prohibit:
A. identification of clients being discussed at the weekly meetings of account managers.
B. discussion of clients' holdings and investment strategy at the weekly meetings of account managers.
C. discussion of clients' individual needs at the weekly meetings of account managers.
Answer: A
Explanation:
Explanation/Reference:
Explanation:
Standard 111(E) requires members to preserve client confidentiality unless the client is engaged in illegal activities or an investigation by the CFA Institute requires disclosure of confidential client information. The managers are allowed to discuss strategies and other issues to better serve their clients as long as they maintain the confidentiality of each client. (Study Session 1, LOS 2.a)
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