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fgiga [73]
3 years ago
13

As defined in the Investment Advisers Act of 1940, the term "person associated with an investment adviser" would include all of

the following EXCEPT
A) an employee of the firm with a degree in communications whose job is the graphic design of the investment adviser's research publications


B) an individual employed by an investment adviser to solicit new advisory clients, compensated at a rate of $500 for each new account.






C) a senior officer of an investment adviser responsible for marketing the adviser's services as opposed to making investment advisory decisions.






D) a silent partner in an advisory firm organized as a general partnership
an employee of the firm with a degree in communications whose job is the graphic design of the investment adviser's research publications

The term "person associated with an investment adviser" means any partner, officer, or director of such investment adviser (or any person performing similar functions), or any person directly or indirectly controlling or controlled by such investment adviser, including any employee of such investment adviser, except that persons associated with an investment adviser whose functions are clerical or ministerial shall not be included in the meaning of the term. Graphic design would be considered a clerical function.
Reference: 3.1.1.5 in the License Exam Manual
Business
1 answer:
kogti [31]3 years ago
4 0

Answer:

A) an employee of the firm with a degree in communications whose job is the graphic design of the investment adviser's research publications

Explanation:

In this case, the employee who performs tasks related to graphic design, but doesn't carry out any function similar to an associate partner or director of an investment adviser, is not considered a "person associated with an investment adviser". Even if that person actually worked for the investment adviser, his/her functions are considered clerical, the same as a secretary or receptionist.  

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Which matter is considered when calculating a country's balance of payments?
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The matter that will considered when calculating a country's balance of payments is the military expenditures.

<h3>What is a balance of payments?</h3>

This refers to the balance of international payments. This is athe statement of all transactions made between entities in one country and the rest of the world over a defined period such as during a month, quarter, year etc.

The balance of payments summarizes all transactions that a country's individuals, companies, government bodies complete with individuals, companies, and government bodies outside the country.

These balance of payments helps to measures the inflows and outflows of money from sectors such as tourism, foreign aid, military expenditures and foreign investments as well as flows resulting from exports and imports.

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8 0
1 year ago
Generally, firms entering foreign markets begin with:
kirill115 [55]

Answer:

a. less risky strategies first.

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When find enter into foreign markets their knowledge and experience in the market space is limited. They will most likely implement less risky strategies of doing business bearlier on.

As they get to understand the market dynamics of the foreign country they are more confident in doing more risky transactions.

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3 years ago
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