4. Which of the following statements clearly conflicts with the recommended procedures for compliance presented in the CFA Institute Standards of Practice Handbook? 1. For confidentiality reasons, personal transactions and holdings should not be reported to employers unless mandated by regulatory organizations. 2. Employees should disclose all personal transactions to their employer. 3. Firms should disclose to clients the personal investing policies and procedures established for their employees. 4. Prior approval must be obtained for the personal investment transactions of all employees.
4. Which of the following statements clearly conflicts with the recommended procedures for compliance presented in the CFA Institute Standards of Practice Handbook? 1. For confidentiality reasons, personal transactions and holdings should not be reported to employers unless mandated by regulatory organizations. 2. Employees should disclose all personal transactions to their employer. 3. Firms should disclose to clients the personal investing policies and procedures established for their employees. 4. Prior approval must be obtained for the personal investment transactions of all employees.
Essentials Of Investments
11th Edition
ISBN:9781260013924
Author:Bodie, Zvi, Kane, Alex, MARCUS, Alan J.
Publisher:Bodie, Zvi, Kane, Alex, MARCUS, Alan J.
Chapter1: Investments: Background And Issues
Section: Chapter Questions
Problem 1PS
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Transcribed Image Text:dnu Televalmt iniormatioH in support of an Investment recommendation.
4. Which of the following statements clearly conflicts with the recommended procedures for compliance presented
in the CFA Institute Standards of Practice Handbook?
1. For confidentiality reasons, personal transactions and holdings should not be reported to employers unless
mandated by regulatory organizations.
2. Employees should disclose all personal transactions to their employer.
3.
Firms should disclose to clients the personal investing policies and procedures established for their
employees.
4.
Prior approval must be obtained for the personal investment transactions of all employees.
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