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NEW QUESTION: 1
MoeMoney Investment Advisers uses the services of two broker-dealers exclusively when it executes trades for its clients' accounts. The larger of the two broker-dealers provides MoeMoney with research from its analyst department in return for the business and also serves as the custodian for some of MoeMoney's clients' accounts. The smaller of the two broker-dealers picks up the utility bill for MoeMoney.
MoeMoney is careful to disclose this form of "soft dollar" compensation to its clients.
Is it in violation of any securities laws?
A. No. Investment advisers are entitled to receive soft dollar compensation from broker-dealers with which it has a relationship as long as they disclose this to their clients.
B. Yes. Although investment advisers are permitted to receive some forms of soft dollar compensation from broker-dealers with which it has a relationship, such as research or custodial services, other forms of soft dollar compensation, including the payment of overhead expenses,are prohibited.
C. Yes. Investment advisers are required to use more than two broker-dealers when executing trades on its clients' accounts.
D. Yes. Investment advisers are prohibited from receiving any soft dollar compensation whatsoever.
Answer: B
Explanation:
Explanation/Reference:
Explanation: Yes. MoeMoney is in violation of securities laws in accepting payment of its utility bills for directing business to the smaller broker-dealer because this form of soft dollar compensation is prohibited.
Some forms of soft dollar compensation are permitted, such as the research and custodial services MoeMoney receives from the larger broker-dealer, but the payment of any office overhead expense is not.
Allowed soft dollar compensation is deemed to benefit both the investment adviser and its clients; soft dollars that seem to benefit only the adviser are not allowed.
NEW QUESTION: 2
次のどれは外部委託ソフトウェア開発で発生するセキュリティ上の欠陥を最も良く防ぐことができますか。
A. 納期、変更管理制御と予算管理
B. コードの品質のための契約の要件
C. ライセンス、コードの所有権と知的財産権
D. 品質の認証と行われた仕事の精度
Answer: D
NEW QUESTION: 3
どのオプションが、異常検出のためのラーニング受け入れモードの役割を説明していますか?
A. ネットワークトラフィックに関する知識ベースを作成します
B. 異常検知ゾーンを設定します。
C. 進行中の攻撃を検出してデータベースに追加します。
D. 不完全な接続を識別し、それらにフラグを立てます。
Answer: A
Explanation:
Explanation
Explanation
http://www.cisco.com/c/en/us/td/docs/security/security_management/cisco_security_manager/sec urity_manager/4-0/user/guide/CSMUserGuide_wrapper/ipsanom.html
NEW QUESTION: 4
You are designing a plan to deploy a new application to Azure.
The solution must provide a single sign-on experience for users.
You need to recommend an authentication type.
Which authentication type should you recommend?
A. SAML credential tokens
B. Windows Authentication
C. Azure managed access keys
D. MS-CHAP
Answer: A
Explanation:
A Microsoft cloud service administrator who wants to provide their Azure Active Directory (AD) users with sign-on validation can use a SAML 2.0 compliant SP-Lite profile based Identity Provider as their preferred Security Token Service (STS) / identity provider. This is useful where the solution implementer already has a user directory and password store on- premises that can be accessed using SAML 2.0. This existing user directory can be used for sign-on to Office 365 and other Azure AD-secured resources.
References: https://msdn.microsoft.com/en-
us/library/azure/dn641269.aspx?f=255&MSPPError=-2147217396
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