CFA Practice Question

There are 291 practice questions for this study session.

CFA Practice Question

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?

A. Yes, Responsibilities Of Supervisors.
B. Yes, Duties to clients.
C. No.
Correct Answer: C

Employers may require employees to 'pre-clear' before they trade securities.

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