- CFA Exams
- CFA Exam: Level I 2021
- Study Session 1. Ethical and Professional Standards
- Reading 3. Guidance for Standards I-VII
- Subject 1. Standard I (A) Knowledge of the Law
CFA Practice Question
You are in an office in the U.S. and a colleague is trading for himself in advance of clients.
A. You should inform a supervisor only if the trading appears profitable.
B. You should seek guidance from a supervisor or legal counsel.
C. You should ask your colleague for stock tips.
User Contributed Comments 1
| User | Comment |
|---|---|
| zwer | Note that "or" clause is confusing. First supervisor, then counsel. |