CFA Practice Question

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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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