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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 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
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.