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Basic Question 1 of 4
In terms of CFA Institute's Standards of Professional Conduct per Standard VI (B) Priority of Transactions, when dealing with compliance procedures, which of the following procedures should be included to assist in complying with this standard?
II. defining investment (This would include any investment, including real estate etc.)
III. establishing control over trading activity
IV. defining clearly prohibited transactions
I. defining personal transactions
II. defining investment (This would include any investment, including real estate etc.)
III. establishing control over trading activity
IV. defining clearly prohibited transactions
User Contributed Comments 4
| User | Comment |
|---|---|
| danlan | Fair dealing and transaction priority are different. |
| johntan1979 | :( Don't you all think that there is a very thin line between Fair Dealing and Priority of Transaction? |
| marianne1 | III -Compliance procedure |
| Baumisa | Tricked question |
I am using your study notes and I know of at least 5 other friends of mine who used it and passed the exam last Dec. Keep up your great work!
Barnes
Learning Outcome Statements
demonstrate the application of the Code of Ethics and Standards of Professional Conduct to situations involving issues of professional integrity
recommend practices and procedures designed to prevent violations of the Code of Ethics and Standards of Professional Conduct
identify conduct that conforms to the Code and Standards and conduct that violates the Code and Standards
CFA® 2025 Level I Curriculum, Volume 6, Module 3.