CFA Practice Question

There are 361 practice questions for this study session.

CFA Practice Question

According to the Standards of Professional Conduct, the following are procedures for compliance for one of the Standards of Professional Conduct:

  • limited participation in equity IPOs
  • restriction on private placements
  • establishing blackout/ restricted periods

Which Standard of Professional Conduct do these compliance procedures relate to?
A. Standard VI (B) Priority of Transactions
B. Standard VI (A) Disclosure of Conflicts
C. Standard I (B) Independence and Objectivity

User Contributed Comments 1

User Comment
wollogo To me this is about "defining" the difference between personal and client transactions so that priority of transactions is clear. If this was about conflicts then it would be about "disclosing" personal transactions and conflicts of interest.
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