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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 passed! I did not get a chance to tell you before the exam - but your site was excellent. I will definitely take it next year for Level II.
Tamara Schultz
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® 2024 Level II Curriculum, Volume 6, Module 49.