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NEW QUESTION: 1
In order to comply with Standard IV (B.4), Priority of Transactions, firms should prepare and distribute to firm personnel a code of ethics and compliance procedures. The code and procedures should do all of the following, EXCEPT:
A. contain disciplinary procedures.
B. ensure that procedures will be enforced.
C. consider special situations.
D. maintain a list of clients and their holdings.
E. limit the number of access persons.
F. define personal transactions, investment and prohibited transactions.
G. establish reporting and prior-clearance requirements.
Answer: D
Explanation:
Explanation/Reference:
Explanation:
The question deals with the compliance procedures under Standard IV (B.4). Personal transactions must be defined to all employees. The number of access persons - those who have knowledge of pending or actual recommendations or action - should be limited, by implementing Fire Walls. A reporting system for all employees' personal transactions should be established, as well as procedures for special situations.
Authority should be given to a compliance officer to enforce the procedures, which should include disciplinary action. Maintaining lists of client holdings is NOT a compliance procedure under Standard IV (B.4), but Standard IV (B.3).
NEW QUESTION: 2
A. Get-NetFirewallApplicationFilter
B. Get-NetFirewallRule
C. Get-NetFirewallPortFilter
D. Get-NetFirewallAddressFilter
E. Get-NetFirewallProfile
F. Get-NetFirewallSetting
G. Get-NetIPSecRule
Answer: B
Explanation:
Explanation: The complete cmdlet to perform the required action:-
NEW QUESTION: 3
Sam wants to implement a network-based IDS in the network. Sam finds out the one IDS solution which works is based on patterns matching. Which type of network-based IDS is Sam implementing?
A. Anomaly-based IDS
B. Behavior-based IDS
C. Stateful protocol analysis
D. Signature-based IDS
Answer: D