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Basic Question 2 of 8
Ethan Johnson, CFA has assumed supervisory responsibilities over some portfolio managers in his firm. Johnson introduces a new requirement for the portfolio managers that they 'pre-clear' before they trade securities in their own accounts. Has Johnson violated the Standards?
B. Yes, Duties to clients.
C. No.
A. Yes, Responsibilities Of Supervisors.
B. Yes, Duties to clients.
C. No.
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I was very pleased with your notes and question bank. I especially like the mock exams because it helped to pull everything together.
Martin Rockenfeldt
Learning Outcome Statements
evaluate practices, policies, and conduct relative to the CFA Institute Code of Ethics and Standards of Professional Conduct;
explain how the practices, policies, and conduct do or do not violate the CFA Institute Code of Ethics and Standards of Professional Conduct.
CFA® 2025 Level II Curriculum, Volume 6, Module 45.